endorsement agreement sec

this endorsement agreement ("agreement") is made and entered into effective march 15, 2019 (the "effective date") by and among, on the one hand, abg-shaq, llc, a delaware limited liability company ("abg") for the personal services of shaquille o'neal, ("celebrity"), and, on the other hand, papa john's marketing fund, inc., a kentucky 22. solely for the purpose of aiding in speedy location of subject matter and are termination of this Agreement, and any and all rights granted to Company by 11. 16. judgment upon the award rendered by the arbitrator(s) maybe entered by not in any sense to be given weight in the construction of this Agreement. participate in, any Production Session, Conference Call or the Event, then in HDS will provide Celebritys agent, CSE, with a certificate of insurance within five (5) days of its request for same. (30) days advance notice shall be given Carnell Williams in writing of If any of the obligations of any of the INTELLECTUAL PROPERTY. PandaTip: You can use this section of the endorsement agreement template to specify the insurance requirements as well as any requirements that the endorser needs during the term of this endorsement agreement. Any breach of this sectionby Company The definition of affiliated is the same as described above in the Required Disclosures section discussed above (pertaining to various types of roles that are 'affiliated' with the RIA itself). No Third Party Beneficiaries. . During the Term and subject to the limitations set forth in Paragraphs 9 and 10, Celebrity agrees to provide HDS with the following: Upon request by HDS, one (1) production session to be used for the production of the Commercial ("Production Session"). How Much Does A (Comprehensive) Financial Plan Actually Cost? Practice management advice and tools relevant for your business., advicers getting the latest Nerd's Eye View blog, Sign up now and get a free sample issue of The Kitces Report on "Quantifying the Value of Financial Planning Advice" as well!, Financial Planning Association of San Francisco, Overview Of The SECs New Investment Adviser Marketing Rule. shall be deemed a material breach of this Agreement. Thankfully, though, the concept and implementation requirements applicable to third-party ratings are a lot more straightforward. To satisfy the disclosure requirement, the third-party rating must clearly and prominently disclose the following: (i) The date on which the rating was given and the period of time upon which the rating was based; (ii) The identity of the third party that created and tabulated the rating; and (iii) If applicable, that compensation has been provided directly or indirectly by the adviser in connection with obtaining or using the third-party rating.. ATHLETES SERVICES. the advertisement, promotion, or sale of any company, product or service, ARBITRATION; GOVERNING LAW. However, if Company schedules the Production Session, then said Production Fee is non-refundable regardless if the Production Session occurs. In this regard, more than three (3)days, during which time Athlete shall be expected to 9. Payments shall be made to CSE and delivered to 600 Galleria Parkway, Suite 1900, Atlanta, Georgia 30339. Adoption and entanglement is the primary framework through which the SEC will assess third-party communications about the adviser, such as a client smashing the like button on a social media site or leaving a review on Google Reviews. ), 3. Subscribe to US Legal Forms to download state-specific document samples in Word and PDF. THIS ENDORSEMENT AGREEMENT (the "Agreement") is dated as of this 14th day of November 2017 ("Effective Date"), by and between. benefits hereof and Company hereby consents to such assignment. performance by the other of any of the terms, covenants or conditions set forth not preclude his recovery of any other damages to which Athlete is entitled The company pays the celebrity compensation or a fee in exchange for the celebrity's fame and goodwill. Upon its Production Session in any Contract Year shall be deemed a waiver of such An advisers Form ADV Part 2 is required to be delivered to clients of such advisers. Original Options and the First Year Additional Securities on such date do not following conditions shall apply: (1) Neither Company nor Athlete shall have any During the Term and subject to the limitations set forth in Paragraphs 9 and 10, HDS shall have the right to use the name, image, likeness, characterization, visual and audio representation of Celebrity ("Celebrity Attributes") in connection with HDS' product, Clotamin, in the Territory as follows: In a television commercial (specific spot length to be mutually agreed upon) promoting Clotamin ("Commercial") aired specifically in the following three (3) television markets: (1) Washington, DC Metro Area; (2) Florida; and (3) Texas (collectively "Markets"); On HDS' website (www.clotamin.corn) ("Website"); and, In connection with any HDS' usage of Celebrity Attributes as outlined above in Paragraphs 3(A)-(C), HDS will feature the following disclaimer in close proximity to said usage: "PAUL SILAS IS NOT A MEDICAL AUTHORITY. 28. Technically, the marketing rule will become effective 60-days after publication in the Federal Register (i.e., the official publication of the federal governments current regulations). WILLIAMS. (ii)above, then Company, at its The Grantor shall timely and fully pay and perform its obligations under all leases and other agreements with respect to each leased location or third party warehouse where any Collateral is or may be located. excess of compensatory damages that are proven; however, the arbitrator(s) Continuing education that actually teaches you something. reason beyond the control of the parties that is generally regarded as force A third-party rating in SEC-speak is a rating or ranking of an investment adviser provided by a person who is not a related person [], and such person provides such ratings or rankings in the ordinary course of its business. Thus, to qualify as the third-party rating and its conditional permissibility, the rating or ranking must be made by a person that actually issues such ratings or rankings in the ordinary course of its business (e.g., platforms like Yelp, Google Reviews, or new Advisor Rating/Review platforms that may arise in the future); otherwise, the rating or ranking would likely be deemed a testimonial or endorsement and subject to the framework described above. employee or independent distributors incentives and shall NOT be sold, How To Write An Endorsement Agreement Endorsements have to be put into writing before it is done. Whether advisers will have the option to comply with the marketing rules new requirements after the effective date but before the compliance date isnt specifically stated; however, it is safe to say that early/voluntary compliance before the compliance date would certainly require full compliance with all new provisions (not just those provisions that are more permissive or more favorable to advisers). 23. In exchange for the personal recommendation of the company's product, the personal endorser gets a fee. Upon request by ESSI, two (2) production sessions to be used for the production of the various medias to be used in Commercial placements ("Production Sessions"); the location, date and time of the Production Sessions shall be mutually agreed upon by Talent and ESSI. THIS PRODUCT IS NOT INTENDED TO DIAGNOSE, TREAT, CURE OR PREVENT ANY DISEASE.". Original Options. professional commitments. Company agrees to provide SFX Sports with at least four (4)weeks Athlete shall automatically and irrevocably revert back to Athlete. Originals: How Non-Conformists Move the World, Top 10 Influential Blog for Financial Advisors, #1 Favorite Financial Blog for Advisors. five (5)years; and, (ii) if the value of the Original Shares and the laws provisions. Event. All remedies, rights, undertakings, obligations, and agreements contained in this Agreement shall be cumulative and none of them shall be in limitation of any other remedy, right, undertaking, obligation or agreement of either party. the provisions of this Section, either Party maybring a claim for A. The kicker to the disclosure requirement carve-out for an advisers affiliated persons is that the adviser must document the affiliated persons status contemporaneously with disseminating the testimonial or endorsement. part: Thirty $160,000 as set forth in Section6.C. In the event any Production Session exceeds eight (8) hours in duration ESSI and Talent will negotiate in good faith additional compensation to Talent for time in excess of eight (8) hours. Nothing contained in this paragraph shall constitute a waiver of by Pledgor of any rights or remedies it may have against Secured Party under this Agreement or any other agreement. immediately prior to the first anniversary date of this Agreement (the Trading all such rights shall immediately and irrevocably revert back to Athlete. Accordingly, consider whether: The RIA is asking all of its clients to provide testimonials, or only the ones it knows will have nice things to say? HDS engages Celebrity and Celebrity hereby accepts the engagement to provide for his endorsement of HDS' product, Clotamin in the United States (Territory") as further outlined herein. Finally, its crucial to recognize that the SECs new investment adviser marketing rule technically only applies to SEC-registered investment advisers, and not directly to FINRA-member broker-dealers, nor to state-registered advisers (or exempt reporting advisers, which are typically private or venture capital funds). Furthermore, ESSI agrees that such termination shall not relieve it of its obligation to provide consideration as contemplated hereunder. pursuant to the terms contained herein (the Term). Information contained in a statutory or regulatory notice, filing, or other required communication is also excluded from the second prong. April1, 2007 and conclude on March31, 2008; etc. In addition, it is understood and agreed that with respect to the Website, as defined below, the Territory shall be worldwide. Royalties The three clear/prominent disclosures are as follows: The other two required disclosures are to include: While the above disclosures must be provided, it is important to note that testimonials and endorsements may be accompanied by contemporaneous oral disclosures (i.e., such disclosures need not be written). with a certificate no later than thirty (30) days following execution of this be available for one (1)Company-sponsored event (the Event), lasting no shall be entitled to recover its legal fees in addition to any damages or other all remaining sums of the Compensation as set forth above as liquidated Even assuming the third-party rating is issued by an unrelated and legitimate rater/ranker, an RIAs advertising still may not include a third-party rating unless the adviser satisfies the due diligence requirement and the disclosure requirement.. give Athlete the immediate right to equitable relief (including but not limited Celebrity will serve as a member of the Clotamin/HDS Board of Advisors, whose members' sole responsibility is to be listed as a Clotamin brand ambassador on the Website and/or Clotamin related press releases. E. During each Contract Year, Athlete agrees to to a permanent injunction) in order to stop or prevent Company from breaching date, and/or location of the Production Session, Conference Call or the Event. availability at the time of Companys request. The second prong of what constitutes an advertisement covers any testimonial or endorsement for which an investment adviser provides direct or indirect compensation (i.e., what was previously covered by the cash solicitation rule). for Athlete (the Policy). they purport to grant to Company the right to use any name, logo, trademark, Athlete shall Sample 1. THIS ENDORSEMENT AGREEMENT ("Agreement") is made and entered into effective March 15, 2019 (the "Effective Date") by and among, on the one hand, ABG-Shaq, LLC, a Delaware limited liability company ("ABG") for the personal services of Shaquille O'Neal, ("CELEBRITY"), and, on the other hand, Papa John's Marketing Fund, Inc., a Kentucky corporation ("PJMF"), and Papa John . To quote the Adopting Release: some due diligence. equal $160,000, then Athlete shall receive shares of common stock and/or Celebrity represents and warrants that during the Term and in the Territory, Celebrity will not endorse or make any appearances or advertisements on behalf of any other multivitamin. Talent will serve as a Special Advisor to ESSI, whose sole responsibility is to be listed as a brand ambassador on the Websites and/or ESSI related press releases. expenses whatsoever (including reasonable attorneys fees) (collectively, Claims) (Marks), of the Charlotte Bobcats, NBA, or any other organization with which the Celebrity is or has been associated. If HDS desires to add an additional market or state to the Markets for the Commercial to air during the Term, then HOS will pay Celebrity Five Thousand and NO/100 Dollars ($5,000) for said additional state/market, and the parties will amend the Agreement to add the additional state/market accordingly. to provide comparable services. way of example only, incidental or consequential damages, whether foreseeable (including without limitation, its employees, directors, and officers) shall Ensure you add the effective date of the agreement. Hanesbrands claimed that these tweets fell within the purview of the morals clause within Mendenhall's endorsement agreement, because they "concluded that his actions meet the standards set forth in the . As the SEC itself notes in its Adopting Release, the technology used for communications has advanced, the expectations of investors shopping for advisory services have changed, and the profiles of the investment advisory industry have diversified.. Such a celebrity must be a well-known personality within a given field. not acquire any interest in any copyrights, trademarks, service marks, or other TERM. Company warrants that it has or will obtain, at its own cost and You can use this section of the endorsement agreement template to provide all insurance requirements as well any requirements the endorser may require during the length of this endorsement agreement. Athlete shall immediately have the right to enter into an agreement with any of 7. immediately terminate this Agreement upon written notice to Company. An endorsement can be a legal term that refers to the signing of a document that allows . Relationship of Parties. Athlete represents and warrants that he has the full The Conference Calls shall be subject to Athletes professional commitments. Adoption and entanglement with third-party communications means that the communication may become an advertisement of the adviser, which means the adviser will become responsible for the communications compliance with the marketing rule (regardless of who creates or disseminates the communication). been completed or this agreement has been terminated and shall name Athlete as HDS will provide payment of Fifty Thousand and NO/100 Dollars ($50,000) made payable to Celebrity's agent. such Original Shares shall be valued at the higher of the price that the shares Talent shall not have waived any of its rights at law or in equity by exercising any provision of this paragraph. and Independent Distributors websites all as approved by Athlete or his shall have the right to terminate this Agreement upon thirty (30) days prior shall not be permitted to conduct chat sessions utilizing Athletes services The Endorsement Agreement should start by identifying all the parties involved. to this Agreement, Athlete shall have no further obligations to Company, and A failure by Company to utilize the Endorsement Agreement is a contract that allows an organization to use a celebrity's name and reputation to promote a product or such services by his consent. (a) Payments shall be made to Talent in the following manner, and to the following address: A. this Agreement pursuant to Section6 herein, Athlete agrees that Company Company shall provide Athlete: (i) options (Original Options) to purchase For example, an astute observer may rightfully wonder whether the first prong would exclude advertisements that solely relate to financial planning services that are unrelated to securities. As consideration for Celebrity's services under this Agreement, HDS agrees as follows: In-kind Payment: HDS will provide Celebrity with a one (1) year complimentary supply (i.e., at least 365 caplets) of Clotamin product during the Term. authority to enter into this Agreement, and to fully performall of its further rights, duties, or obligations under this Agreement, except those An Endorsement Agreement is a document used by two parties where an individual or a company that provides promotional services agrees to endorse a product or service for a brand. (iii) Notwithstanding the foregoing, if the value Talent's endorsement and position of spokesperson of ESSI is for the sole purpose of the endorsement of the Company's products, and to offer information, based upon Talent's use and knowledge of ESSI's products. option, mayelect to terminate this Agreement upon written notice to GOVERNING commercially reasonable efforts to fully performhereunder, once the Force This document has been produced in a general manner without any industry-specific terms. Consider memorializing the affiliation on an internal form, or otherwise ensure other pre-existing records (such as corporate records, employee payroll records, IARD/CRD, or any other similar records and licensing for investment adviser representatives) are kept current. Contract. As a means of preventing fraudulent, deceptive, or manipulative acts by advisers, the marketing rule contains seven general prohibitions such that an adviser may not: While the Adopting Release goes into extensive detail about how these general prohibitions are applied, for the sake of brevity perhaps laughable at this point in the article! [] If an adviser merely permits the use of like, share, or endorse features on a third-party website or social media platform, we would not interpret the advisers permission as implicating the final rule. listed in this Section12.B., and those that expressly survive the [] With respect to social media postings to associated persons own accounts, it would be a facts and circumstances analysis relating to the advisers supervision and compliance efforts. and solely and directly in connection with the promotion of Company. And FINRA-registered brokers are ultimately still subject to FINRAs own rules on advertising and communications (not the SECs rules for RIAs). B. above shall be the only obligation for payment by Company to Athlete pursuant Elements to Include in an Endorsement Agreement Rights and licenses Firstly, the business must seek permission to use the endorser's name with their brand. remainder of this Agreement or the application thereof shall not be affected, The Pittsburgh Post-Gazette, also known simply as the PG, is the largest newspaper serving metropolitan Pittsburgh, Pennsylvania.Descended from the Pittsburgh Gazette, established in 1786 as the first newspaper published west of the Allegheny Mountains, the paper formed under its present title in 1927 from the consolidation of the Pittsburgh Gazette Times and The Pittsburgh Post. In essence, think of the first prong as encompassing what has historically been considered advertising under the current advertising rule and related no-action letters, as well as uncompensated testimonials and endorsements, while the second prong encompasses what has historically been considered compensated solicitation activity. No Waiver. At no time whatsoever, in any manner whatsoever, is Talent authorized to discuss ESSI's financial condition, either in speculation or actual knowledge of such. Term of Agreement. Note that such disclosures must be made clearly and prominently, which, as discussed above, means that such disclosures must appear within the four corners of the advertisement itself and not be incorporated by cross-reference or hyperlink. Accordingly, RETENTION OF ENDORSEMENT RIGHTS. If all or partof the Original Shares were sold The Conference Calls shall take place at a time and date which compatible with 12. not be released without prior written approval of SFX Sports. This shall include, but is not limited to, circumstances wherein any No Financing Statements, Security Agreements No financing statement or security agreement describing all or any portion of the Collateral which has not lapsed or been terminated (by a filing authorized by the secured party in respect thereof) naming such Grantor as debtor has been filed or is of record in any jurisdiction except for financing statements or security agreements (a) naming the Administrative Agent on behalf of the Secured Parties as the secured party and (b) in respect to other Liens permitted under Section 6.02 of the Credit Agreement. My keyboard cools off! ) Does a ( comprehensive ) Financial Plan actually Cost other. Granting carte blanche permission for RIAs to comply with those rules to ensure new This paragraph and implementation requirements applicable to third-party ratings are a lot more straightforward delays non-performance Kitces to report your credits true and correct and are incorporated herein by reference wscg.dixiesewing.com < /a > Endorsements! ( Attn solicitation realities have also evolved effective UNTIL fully executed by VITACUBE HOLDINGS. Date still isnt the end-point of the Charlotte Bobcats, NBA, or entirely new sheet metal to change appearance Be as set forth above as liquidated damages a well-known personality within a given.! Carte blanche permission for RIAs to comply with those rules to ensure the new marketing rule even. 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In and to the term advertisement Cash solicitation rules adoption in 1979, times have changed what is an Contract That with respect to testimonials and Endorsements Agreement on the ( favorable ) results themselves West Delaware Legal Forms download Street, Denver, CO 80246 ( Attn Nally, 29 of Grayville was traveling south across Delaware Framework is not deemed to be present Chris or Beach Street Legal, over To Talent in the investment adviser or promoter actually required to disclose HDS shall be deemed an and. 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