listing your clients and raising capital
with assob ASSOB Professional Education Series
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
Page 1
listing your clients with assob sixteen easy steps to raise money for your clients on the assob capital raising platform 1. Receive your Sponsor Accreditation 2. Send a “Capital Raising Scenario” Template to your clients 3. Prepare a “Capital Raising Scenario” from ASSOB Supplied Software 4. Meet with client for capital raising presentation 5. Client signs agreement confirming your upfront and success fees 6. Host a “Discovery Meeting” 7. Submit “Part One” of Documentation 8. Prepare Offer Document from Template 9. Liaise with ASSOB to ensure Document is compliant 10. Submit “Part Two” of Documentation 11. Request ASSOB to set the Offer Document open for Marketing and Capital Raising 12. Facilitate investor meetings 13. Send Share Applications to all investors who request them 14. Liaise with ASSOB to ensure offering is not oversold 15. Funds released to client 16. Receive your commission usually 5% to 7% of all capital raised
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 1 receive your sponsor accreditation 1. Receive your Sponsor Accreditation Courses are run periodically in Sydney and also by correspondence. Comprehensive Course Materials and Training includes: 1.
How to Raise Capital via a Small Scale Offering for your clients;
2.
The Compliance and Legal issues you must be aware of;
3.
Which clients are suitable and how to prepare them;
4.
Structuring the Offer, Application and Listing Process;
5.
The Capital Raising Process, Prerelease, Early Bird / VIP release, then offer goes live;
6.
Secondary Sales and Compliance Listings
7.
All the forms, documents, process flows and templates you need.
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 2 send a “capital raising scenario” template to your clients Send a “Capital Raising Scenario” Template to your clients You receive your own copy of an easy to complete two page Capital Raising Template to send to your clients so that they can send you the information you need to prepare a “Capital Raising Scenario”
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 3 prepare a “capital raising scenario” from ASSOB supplied software CAPITAL RAISING SCENARIO
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 4
meet with client for capital raising presentation
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 5 Client signs agreement confirming your upfront and success fees Use your own agreement or one ASSOB’s templates from the Sponsor Web Portal
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 6
host a “discovery meeting” to plan the campaign
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
Page 8
step 7
submit “part one” of documentation
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 8
prepare offer document from template
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
Page 10
step 9
liaise with ASSOB to ensure document is compliant
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 10
submit “part two” of documentation
Version 3.2 ©Australian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 11 request ASSOB to set the offer document open for marketing and capital raising
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 12
Facilitate investor meetings
http://www.youtube.com/watch?v=F3o9E6izJPc
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 13 send share applications to all investors who request them
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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step 14
liaise with ASSOB to ensure offering is not oversold
step 15 & 16 funds released to client and you receive your commission usually 5% to 7% of all capital raised* *Usually between $400,000 and $5 million
Three ways to become a sponsor 1.Call our Professional Partner Manager Joe Olejnik directly on 0429 050 475 2.Email Joe at jolejnik@assob.com.au 3. Call 1300 722 954
Version 3.2 ŠAustralian Small Scale Offerings Board
1300 722 954 www.assob.com.au
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