Appointment, Term, and Termination. Issuer hereby engages and retains Rialto to provide operations and compliance services as listed: a. Act as the Broker – Dealer On Boarding Agent for 1A (SEC), 5110 (FINRA) and Blue-Sky (States & Territories) filings’ b. Provide introductions and coordination with engaging additional parties and service providers c. assist with use of an “Issuer Reg A Raise” website where potential and current investors begin the process of onboarding/investing by entering their interest, required personal information and review and sign all offering related documentation; d. performing AML/KYC on all investors; e. coordination with Registered Transfer Agent of the Issuer; f. coordination with the escrow agent of the Issuer for funds raised; g. coordination with the Issuer’s legal partners; and h. providing other financial advisory services normal and customary for similar transactions and as may be mutually agreed upon by Rialto Markets LLC and the Issuer (collectively, the “Services”). i. Investment Applicant Services (see Schedule B for associated fees)
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Sources: Broker Dealer Onboarding Agent Engagement Agreement (Zergratran SA, Inc.), Broker Dealer Onboarding Agent Engagement Agreement (Prime Harvest Inc.)