Transaction Execution & Capital Structuring Services Agreement
Equis Capital Finance provides Transaction Execution & Capital Structuring services pursuant to a formal Transaction Execution & Capital Structuring Services Agreement (the “TECS™ Agreement”).
This agreement governs the scope, sequencing, and commercial terms under which Equis acts as an independent capital advisor and transaction intermediary, and establishes a clear framework for professional engagement, confidentiality, and execution discipline.
Purpose of the Agreement
The TECS™ Agreement is designed to ensure that all capital advisory and execution activities are conducted in a structured, professional, and market-aligned manner. It defines how Equis evaluates, positions, structures, and executes financing and capital market transactions on behalf of its clients.
The agreement ensures alignment between client objectives and market realities while protecting all parties throughout the transaction process.
Scope of Services
Under the TECS™ Agreement, Equis may provide services including, but not limited to:
Capital structuring and optimization
Debt, equity, mezzanine, and hybrid financing execution
Lender and investor identification and outreach
Transaction positioning and market presentation
Coordination with lenders, investors, legal counsel, and third-party advisors
Ongoing transaction management through closing or termination
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Role of Equis
Equis acts solely as an advisor and intermediary, not as a lender, investor, underwriter, guarantor, or fiduciary. All financing decisions are made exclusively by third-party lenders or investors based on their own underwriting criteria, due diligence, and approvals. Equis does not provide assurances, guarantees, or commitments regarding funding outcomes, pricing, timing, or availability of capital.
Fees and Compensation
Compensation under the TECS™ Agreement may include:
- Non-refundable retainers
- Success-based fees tied to capital arranged or transactions completed
- Advisory fees for structuring, execution, and transaction management
Transaction Discipline
The TECS™ Agreement establishes clear expectations around:
- Client cooperation and timely information delivery
- Accuracy and completeness of representations
- Market conduct and communications
- Exclusivity, where applicable
This discipline is essential to protecting transaction integrity, lender relationships, and execution credibility.
Relationship to Other Equis Services
No Obligation to Proceed
Either party may determine, at its discretion, that a transaction should not proceed based on market conditions, diligence findings, risk considerations, or strategic misalignment. Execution efforts do not constitute an obligation to close any transaction.
Governing Framework
All Transaction Execution & Capital Structuring engagements are governed by written agreement. No services are provided, and no obligations arise, unless and until a TECS™ Agreement is fully executed.
Confidentiality and Proprietary Materials
All analyses, models, materials, strategies, methodologies, and communications prepared by Equis remain proprietary and confidential. Clients agree not to disclose, repurpose, distribute, or rely upon such materials outside the scope of the engagement without prior written consent from Equis.
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complex transactions and serious counterparties.