lf you want to be taken seriously about your request for a Private Placement Opportunity you MUST submit your package in the correct format. The industry is full of individuals that are simply do not know how. We hope this guide will help you to understand how this needs to be done.

Providers are not sitting at their desk flying paper airplanes waiting for a file to hit their email. All of the REAL PPP providers are very engaged with the underwriting process and funding of requests. They have a lot to do and they will put your request at the bottom of their pile and probably never get to it if you do not submit a complete package in the proper format. They do not have time or desire to send me or you a multitude of emails requesting additional documentation or documentation that is correct.

If you are a broker or agent do not be a "mailman". In other words do not take a file you got from a client or other intermediary and just forward it to the program facilitator (me) with out examining it and getting it in proper shape for submission. Do not just take any file you get and throw it against the wall without a review and inspection to ensure that it is complete and correct. Be professional and work the file. How can you expect to earn a huge commission if you don't do your due diligence? This involves finding out if the file is fresh, not being shopped all over the internet, and finding out if the client is still in need of the service. We have often gotten the same file submitted to us from three different sources or that are already in process from prior submission by a different agent. We highly recommend that you get in direct contact with the client or mandate and find out the status of the file before you even consider sending it to a program facilitator. If a trader or provider finds that a package is submitted to them that is already in process with another provider the client and the agents stand a real chance of being blackballed from ever being able to submit a package to that provider again. There aren't that many REAL providers and traders out there so don't start burning your sources!

EXECUTIVE SUMMARY - The email that contains your file should always have an executive summary as a proper introduction and overview in the body of the email describing the transaction requested and explaining what you are submitting. Do not expect us to have to sit and sort through a multitude of your submitted documents to figure out what you are submitting?

The Executive Summary needs to contain;

1. the name of the client,

2. the dollar amount of the file,

3.the name of the mandate,

4.a genealogy if known or at least tell us how close you are to the actual client.

5. You must let us know what kind of services the client wants and any other information that you consider may be helpful.

Here is a typical Executive Summary:

Dear _____:

I am a mandate (rep, agent, broker) herewith submitting a new file request from my client Mr. John Jones who is located in Germany. He has 5 German bonds worth 3B that he would like to put into a bullet trade and than a 40 week trade. He does not want to sell the bonds or monitize them. I believe I have submitted a complete package attached. If you need anything else please advise.

Regards,

Agent name

When you attach a file to the email they need to be named in a way that describes what they contain. The files need to named first with the client's last name and then the name of what it is. Here is an example of how you need to name the files: jones-POF.pdf or jones-CIS.pdf or jones-letter of intent, or jones-scan front of BG.pdf (bond, SBLC, etc.) You get the idea. Nothing is more frustrating than to have the files named like this; scan1.jpg, scan2.jpg, etc.

If the program facilitator has to open 15 files to find out what they are, chances are your file will be given a second priority. Most of the forms that need to be completed will be found in the CIS package. You can download that form here: CIS Package.

Additional files needed will be copies front and back of the bank instruments (BG, SBLC, Bonds, etc). If the instruments are on Euroclear we will need pages 1,2,3,4, and 14. If the bank instruments are on Bloomberg or some other screen shot is available we will need a copy of that also. A color copy of the passport of the client will also be required. If the client is a corporation instead of an individual a corporate resolution is always required.

After you submit these items the underwriter will review the package and we may come back with a request for further documentation.

If you follow these instructions for submitting a request for Private Placement you will have submitted a very professional package and it will be appreciated by the providers and will also stand a very good chance of being reviewed favorably.