CIS (Client Information Sheet)

One of the compliance documents typically required for private placement programs.
This document asks for basic information such as the contact details and the line of business the applicant is in.

 FPA (Fee Protection Agreement)

An official document outlining all fees due to intermediaries upon the completion of transaction. This is critical for any private placement broker to understand and utilize.

 JV (Joint Venture)

An agreement between two entities outlining compensation, fees and the obligations of both parties in relation to a specific business venture. This is the most common legal structure for private placement programs.

 LOI (Letter of Intent)

A letter provided by investors interested in a private placement programs, defining their unsolicited interest to enter the investment transaction. This document can also be used for areas outside of private placement, especially where solicitation laws apply.

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