投资顾问协议

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_____（以下简称“甲方”）愿意聘请______（以下简称“乙方”）作为甲方的投资顾问。

______(hereinafter referred to as “Party A”)hereby agree that will use  the consulting service provided by Business Connect China Company Limited, a Hong Kong corporation (hereinafter referred to as “Party B”) as its investment consultant.

 

双方就合作事宜达成以下一致意见：

Both parties hereby mutually agree upon the cooperation issues as set forth below:

 

一、定义 Definition:

  

1)“资金需求方”系指经乙方推荐的有资金需求,并通过全部或部分股权或债权的出售、交换或其他方式的处置，包括但不限于资产出售、股权出售、合并、合资、股权投资、资本结构的重组或任何其他会改变其财务结构、控制权或所有权的一方。

“Investee” means the party which desires to finance and recommended by Party B, will change its financial structure, control right or ownership, of the entire or part of its equity, creditor’s rights, either by selling, exchange or other manners, including but not limited to, asset sales, share flotation, acquisition,  joint venture, equity investment, Recapitalization.

 

2)“交易”系指甲方和/或其母公司、关联方与乙方推荐的资金需求方                       通过资金需求方全部或部分股权或债权的任何出售、交换或其他方式的处置，包括但不限于资产出售、股权出售、合并、合资、股权投资、资本结构的重组或任何其他会改变资金需求方财务结构、控制权或所有权而发生的交易。

“Transaction” means the disposal of investee’s equity or creditor’s rights, either in whole or in part, including but not limited to, asset sales, share flotation, acquisition,  joint venture, equity investment, Recapitalization which might occurs the change of Party B’s financial structure, control right or ownership, between Party A and/or its parent ,affiliate and the investee recommended by Party B.

 

3)“总对价”系指已付给、应付给、已分配给或应分配给与交易有关的，或预期将参与交易的公司、股东或其他证券持有人的总对价。

“Total consideration” means, any prepaid, payable, assigned or allocable which concerned with the deal, or the total consideration of any company, shareholder or stockholder, who will participate into the deal in expectation.

 

二、乙方的责任义务 Responsibility and Obligation of Party B ：

1)根据甲方提供的信息了解甲方的业务、运营、资产、财务状况和前景。

Get to know the status of Party A’s business, operation, property, financial and its prospect on the basis of information provided by Party A.

 

2)安排甲方与资金需求方的接触与交流。

Arrange negotiation and communication meeting for Party A and the demand side.

 

3)经甲方合理要求和指示，与甲方的法律顾问、会计师、审计师、资产评估师和其他顾问一同开展上述工作；但甲方了解乙方不负责且不会向甲方提供任何税务、审计、保险精算、法律意见。

Cooperate with legal consultant, accountant, auditor, assets estimator and other consultants recommended by Party A, to carry out the foregoing works, upon the reasonable requirement and instruction of Party A; Nevertheless, Party A hereby understand that Party B will not be liable and provide any suggestions relating to tax, audit, actuary or legal.

 

4)协助甲方与资金需求方之间的投资合作方案的条款设计（包括但不限于融资方案、合资合作方案、成立合资公司方案、并购方案等），协助甲方与资金需求方之间的谈判与签约。

Assist to plan the clauses of the investment cooperation project, including but not limited to, financing plan, joint venture plan,  between Party A and the demand side.

 

5)若甲方和乙方一致同意由乙方提供本协议未规定的额外服务，甲方和乙方应签署补充协议规定服务的性质、范围、费用和其他相关事项。

Provided that any extra service not mentioned hereof is needed by Party A, both parties will mutually sign a amendment to stipulate the nature, scope, payment and other related issues therein.

 

三、甲方的责任义务Responsibility and Obligation of Party A ：

1)甲方保证提供的信息资料真实全面，以便乙方掌握有效信息开展投资顾问工作。

Party A undertakes to provide comprehensive and valid information for Party B to carry out investment consultation.

 

2)甲方保证按照本协议的约定，向乙方支付服务费用以及其他相关费用；如因支付问题产生的仲裁或诉讼费用，将完全由甲方承担。

Party A undertakes to pay Party B service fees and any other related charges in accordance with the terms under this agreement. In the event of any costs and expenses arising out of arbitration or litigation for payment hereunder, such costs and expenses shall be borne by Party A.

 

3)甲方有权要求乙方定期汇报相关交易的进展情况。

Party A is entitled to be regularly reported by Party B on the progress of the transaction.

 

四、服务佣金及支付：Service Commission and its Payment

甲方同意支付乙方投资服务完成佣金，作为乙方提供投资顾问服务的报酬。

Party A hereby agrees to pay Party B commission for completed investment service as remuneration.

 

1)投资服务完成佣金：在甲方成功向资金需求方投资的情况下，甲方应向乙方支付交易的总对价的一定比例的佣金作为投资顾问完成佣金：甲方若以债权的形式投资，甲方向乙方支付交易总对价的百分之___  作为投资顾问完成佣金；甲方若以股权的形式投资，甲方向乙方支付交易总对价的百分之___ 作为投资顾问完成佣金；甲方若以股权加债权的混合形式投资，债权部分的投资按百分之___ 计算，股权部分的投资按百分之___ 计算，两部分加和作为甲方应支付乙方的投资顾问完成佣金。此项佣金不包括在投资过程中甲方需要另行聘请中介机构（如境内外律师、会计师、审计师、保险精算师、资产评估机构等）而产生的或需要向相关监管机构支付的费用。

Service commission for completed investment: subject to the completion of investment by Party A to its investee(s), Party A shall pay Party B a certain proportion of the total consideration as commission for the consulting services provided. In the event Party A invested in the form of creditor’s rights, then ____% of the total consideration shall be paid by Party A to Party B; In the event Party A invested in the form of equity shares, then ____% of the total consideration shall be paid by Party A to Party B; In the event Party A invested in the form of a combination of creditor’s rights and equity shares, then an aggregate of commission, being ____%  and____% of the total consideration for creditor’s rights and equity shares respectively, shall be paid by Party A to Party B. No commission hereunder shall be accruable by Party B for additional charges paid by Party A from appointment of service agencies (including but without limiting domestic and overseas lawyers, accountants, auditors, actuaries, asset rating institutes) or from relevant regulators.

 

2)双方确认“投资服务完成”以甲方与乙方推荐的资金需求方签署相关的投融资协议文件为准。投资服务完成佣金应在甲方与乙方签署相关的投融资协议文件之日起10个工作日内，甲方应以银行转账方式支付至乙方指定账户。如甲方未能按照本协议规定时间支付“投资服务完成佣金”，则每延迟一日，甲方按应付总额的千分之五计算向乙方支付滞纳金，至佣金支付完成。

The completion of investment service shall be deemed in effect upon signing of investing and financing agreement entered into between Party A and the investee recommended by Party B. Party A shall pay the commission for completed investment service to Party B’s designated bank account by bank trasnfer within ten (10) days upon endorsement of the investing and financing agreement. Should Party A fail to make payment of the commission in accordance with the terms herein, Party B shall be entitled to collect a penalty of 5‰ total amount payable on a daily basis for overdue until complete settlement of payment.

 

3)差旅费用：如乙方为本协议涉及项目的需要赴乙方以外地区所发生的交通费、住宿费等费用将由甲方承担。乙方应在此类差旅费用发生前申请并获得甲方批准，否则此类差旅费用甲方可不予承担。

Travel Expenses: In the event that Party B has to travel outside its office for purposes of the project hereof, all costs and expenses (including but without limiting travel, accommodation fees) thus generated shall be borne by Party A. Party B should apply with Party A for prior consent before the trip, or such costs and expenses shall be borne by Party B itself.

 

五、合作方式Methods of Cooperation:

4)投资顾问服务期：双方合作期为___ 个月，在投资顾问服务期间，甲方应积极配合乙方的投资顾问工作。在服务期内，甲方与资金需求方达成交易时，甲方均需按照本协议第四条款中的约定支付给乙方“投资服务完成佣金”。

Service period for investment consultation: both parties hereby agree to enter into investment consultation for a period of ____ months, during which Party A undertakes to cooperate with Party B and make payment of service commission for completed investment in accordance with article 4 hereof.

 

5)“乙方介绍的资金需求方”锁定期：在本合同终止之后      个月内，若“乙方介绍的资金需求方”与甲方达成投融资交易的，均视为乙方投资顾问服务工作成功，甲方均要按照本协议第四条款中的约定支付给乙方“投资服务完成佣金”。

Lock-up Period of investee recommended by Party B: In the event that the investee recommended by Party B entered into investing and financing agreement with Party A within 24 months upon termination of this agreement, Party B shall be deemed to have completed consulting service for investment and shall be entitled to collect commission from Party A in accordance with article 4 hereof.

 

6)职责性质：甲方了解并同意乙方仅是受聘作为公司的投资顾问。在此情况下，乙方是独立的承包人。乙方在本协议中所承担的任何责任仅对甲方负责。甲方是本协议支付条款的第一付款责任人。甲方应将其与投资者签署的投融资相关协议、资金安排计划以及融资相关资料披露给乙方。

Nature of Responsibility: Party A hereby acknowledges and agrees that Party B is employed for investment consultation purposes only. Therefore, Party B is independent contractor and shall be held liable to Party A solely for its obligations hereof. Party A is the first in line responsible to make payment hereof. Party A shall disclose to Party B all relevant information regarding its investing and financing agreement with investee(s), capital arrangements and financing details.

 

六、协议期限 Term：

本协议有效期为___ 个月，自双方正式签署本协议之日起计算。本协议任一方均可依据本协议第八条款的规定终止本协议。本协议项下的付款义务、保密义务及“乙方介绍的资金需求方”锁定期的规定在本协议终止后继续有效。

This Agreement shall take effect on the signature date and shall remain in full force for _____ month. Any party can terminate this Agreement pursuant to Article 8 herein. The obligation of payment, confidential and the rules of lock-up period, shall survive the termination of this Agreement. 

 

七、声明与保证 Representation and Warranty：

甲方和乙方保证各自拥有全部的权力签署本协议。本协议是一份合法、有效力、对双方有约束力及能照其条款依法行使的协议。

Both parties hereby respectively guarantee that either is entitled to sign this Agreement. This Agreement is legal, valid, mutually binding and will be performed lawfully.

 

八、协议终止 Termination：

当下列情况之一发生时，本协议终止：

As either situation below occurs, this Agreement might be terminated:

 

1)双方确认本协议约定的服务内容完成，且各方已履行规定的义务;

Both parties confirm the service content hereof is fulfilled and the contractual liability has been fully performed by both parties;

 

2)任何一方违约的情况下，另一方有权解除，且不承担相应责任；

Provided that one party defaults, the other party shall have the right to terminate and not to assume liabilities accordingly.

 

3)协议到期，且任何一方未在到期前一个月向另一方提出书面延期要求；

On expiry of this Agreement, either party doesn’t give a prior written notice to the other party to apply for deferring one month in advance.

 

4)因地震、战争等不可抗拒力，或本协议涉及的合作、合资或并购的任一方宣告破产等原因导致继续执行本协议的条件已不存在时，经双方协商同意可终止协议；

Provided that any force majeure arising, including but not limited to, earthquake and war, or any party, of cooperation, joint venture, or acquisition hereunder, declares its bankruptcy, which makes this Agreement unable to fulfill, the Agreement can be cancelled with mutual consent.

 

5)当情况发生变化，继续执行本协议的条件已不存在时，经双方书面同意终止协议。

In the event that any situation changes, which leads to the conditions for performing this Agreement does not exist, the Agreement can be cancelled with mutual consent.

 

九、保密责任 Confidentiality：

协议双方对本协议内容保密。乙方对于从甲方的财务报表、报告和甲方向乙方提供的其他材料中所得到的信息保密，并不得使用、披露或泄露该等信息，除非该等信息已被公众所知，或甲方书面同意乙方披露该等信息（乙方在本协议第二条款所定义的“工作范围”内合理使用该等信息的行为视为已获得甲方的书面同意）。

Both parties shall keep the terms of this Agreement confidential. Party B shall not use, disclose or divulge any confidential information which acquired or developed in connection with Party B’s financial statement, report and other documents to any third party, except that such information was in the public domain at the time of disclosure, or get written approval from Party A (Party B’s reasonable usage of such information by complying with Article 2 herein shall be deemed as the acquirement of written approval from Party A).

 

十、语言Language ：

本协议以中、英文签署。如果两种语言文本存在任何差异或矛盾，应以中文版本为准。

This Agreement is executed in both English and Chinese.  Should there be any inconsistency or conflicts between the two language versions, the Chinese version shall prevail.

 

十一、适用法律 Applicable laws：

本协议受香港特别行政区法律管辖。任何因本协议或本协议的违约、终止、无效所产生或与其有关的任何形式的争议应提交位于[香港]的香港国际仲裁中心（“香港仲裁中心”）的独任仲裁员进行最终裁决，并由香港仲裁中心理事会根据其仲裁员选择程序，在完全独立判断的基础上选择并最终委任。仲裁员应运用仲裁时届时有效的香港国际仲裁中心仲裁规则（“香港仲裁规则”）进行仲裁。仲裁程序中使用中文作为工作语言，其他语言的书面证据在提交仲裁程序时必须附带中文翻译本。仲裁裁决可由任何有司法管辖权的法庭执行。仲裁过程中披露的所有证据及提交物在任何时候均应保密，但是一方在法律的要求下有义务向其他人披露的情形除外，该等披露范围应局限于绝对必须披露的内容。本节不限制各方从具有司法管辖权的法院申请临时救济措施以协助仲裁的进行。仲裁员将决定胜诉方获赔合理的律师费用及相关仲裁费用。

This Agreement shall be governed by the laws of Hong Kong. Any dispute, claim or controversy arising out of or relating to this Agreement or the breach, termination, enforcement, interpretation or validity thereof, including the determination of the scope or applicability of this Agreement to arbitrate, shall be referred to and finally determined by arbitration in in Hong Kong, under the auspices of Hong Kong International Arbitration Center (“HKIAC”), before a sole arbitrator. The arbitrator shall be appointed by HKIAC Council in accordance with its procedures for the selection of a sole arbitrator, with the final appointment being made in the absolute discretion of HKIAC Council.  The arbitrator shall apply the Hong Kong International Arbitration Centre Administered Arbitration Rules (the “HKIAC Rules”) in effect at the time of the arbitration. The language to be used in the arbitral proceedings shall be Chinese, and documentary evidence in other languages must be accompanied by a translation into Chinese when submitted in the arbitral proceedings. Judgment on the award may be entered in any court having jurisdiction thereof. All evidence disclosed, and submissions made, as part of the arbitration shall remain at all times confidential, subject to any duties that a Party has to make disclosure to others as required by law, which disclosure shall be limited to that which is absolutely required. This Section shall not preclude the parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction. The arbitrator(s) is/are directed to award the prevailing Party its reasonable attorney fees and costs incurred as part of the arbitration.

 

十二、一般条款General Terms：

1)完整的协议：双方在此达成完整的共识并取代双方在此之前就本协议事项所进行的所有的口头或书面的洽谈及约定。本协议的修改只能通过双方签署书面修订协议的形式进行。

Entire agreement: This Agreement supersedes all prior oral or written negotiations and agreements, and constitutes the entire agreement between the parties with respect to the subject matter hereof. This Agreement shall be only amended by a mutual agreement in writing.

 

2)无效规定：如果本协议的任何一个或一些规定被法院或者有管辖权的法庭认定为无效，不合法或无法执行，该规定应在适用的法律允许的范围内最大限度地得以执行，并且不以任何方式影响或有损于其它规定的有效性、合法性和可执行性。

Invalid rules: In the event that any of the provisions of this Agreement will be held by a court or other tribunal of competent jurisdiction to be illegal, invalid or unenforceable, such provisions will be limited or eliminated to the minimum extent necessary so that this Agreement will otherwise remain in full force and effect.

 

3)协议副本：本协议应以一式双份签署。每份经签署的副本以及扫描件均视同本协议之原件同样有效。

Counterpart: This Agreement shall be written and signed in two (2) duplicates. Each counterpart or scanned copy of the undersigned Agreement will be deemed an original.

 

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授权代表Authorized Representative       授权代表Authorized Representative         

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