Rules of Engagement
 
1.    NO Buyer will receive ANY information about existing instruments for sale UNTIL THEY HAVE SUBMITTED AND PASSED THROUGH THE LEGAL COMPLIANCE AND DUE DILIGENCE. Anyone asking for this in advance is automatically disqualified from any further discussion.


2.    Unless a specific provider requires it, NO NCNDA or FEE PAY AGREEMENTS or anything that is broker nonsense is tolerated. In conjunction with the authorities and the regulations, as well as the protocols of the banks, the only contractual paperwork that is shared from Principal to Principal is the paperwork created by the bank itself, or the Solicitor/Notary (Attorney). An intermediary who may have brought a deal to the table will automatically fall under a paymaster who will be designated by me. This is not negotiable.


3.    Under NO circumstances will an offer of an instrument be sent to a requesting Buyer Principal. It is solicitation unless the Principal Buyer already has an established relationship with US, NOT anyone else. Every Buyer who is new to us, regardless of who they think they are or are connected to, MUST go through fresh compliance with OUR protocol. The rules, regulations and laws that address this requirement include; The Patriot Act, the BASEL ACCORDS III, "Know Your Customer" Banking rules, and other authorities.


4.    The Client Principal must ALWAYS be in contact with me directly. An intermediary who refuses to step aside will kill the deal for their "client" and will result in being placed on our internal blacklist.


5.    When a blank or incomplete Proof of Funds Authorization to Verify, Client Information Sheet, Passport, and/or SANITIZED LOI is presented (so we can "check" if the Buyer's procedures are acceptable), we will not answer. The only acceptable documentation is a completed set of paperwork with all of the Principal Buyer/Investors information shown without editing. The Client must SIGN and SEAL the documents, and all banking coordinates must be provided.


6.    EVERY SUBMISSION will result in a direct communication to the Principal to ensure that the documents submitted are legal and authorized!


7.    For security purposes, ALL documentation is to be passed between the Principals only. We will NOT accept a submission from anyone who is not the owner of the money or the instruments.
 
 
There are many eyes that are watching every transaction of this nature. Anything that is out of the ordinary, or out of the acceptable protocol, will result in a red flag on the client and any intermediary channels that a transaction may be introduced from. We vigorously support any and all efforts by law enforcement to investigate and potentially prosecute improper, false, fraud, misrepresented and other criminal activities relating to this business.
 
This is a public statement of our policy: We have ZERO tolerance for anything that is not exactly as stated above. Other procedures may also be in place depending on the transaction and the provider's requirements.
 
On a final note, I appreciate the many quality, transparent and honest intermediaries who I have developed relations with over the years. The above Rules of Engagement are not meant to cut an intermediary out of bringing forward a client, but it is meant to establish the official ground rules that are in place. If You Are An Intermediary, YOU MUST BE THE ONLY PERSON CONNECTING ME TO THE PRINCIPAL ON THE OTHER END OF THE DEAL. IF THERE IS A BROKER CHAIN, IT IS IMMEDIATELY STOPPED, REGARDLESS OF THE SIZE OF THE POTENTIAL DEAL.
 
However, as a Principal, my responsibilities are to ensure a proper presentation of a client is made before I will consider an invitation. I have been given the authority to judge if a client is acceptable, or not, to be brought in. The decision for that rests in my hands, and I take this very seriously.