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Funding Request Protocol

You should first call us to briefly discuss your interest in obtaining investment grade capital for your project / investment purposes. If we mutually agree that there is a fit, we request you submit the following information to our offices to complete the screening process and to assist us in initiating the drafting of agreements:

  1. A brief letter on your letterhead addressed to us that contains the following:

*That you are requesting capital in the amount of $_________ MM USD (our minimum is $5.0 MM) and a brief one line description of the purpose of your request (i.e.: Private investment, bond underwriting, instrument funding, an investment grade loan, etc.).

*A statement that you understand the Capital must remain principal risk free at all times, and that you are a sophisticated investor/borrower who has completed all necessary due diligence on your transaction.

*A statement confirming that you approached National Financial Company (NFC) with the transaction for the purpose of obtaining Capital and that NFC played no role in presenting you with or promoting your particular transaction.

*A statement that you understand that the initial cost of funds is ________ (usually 4.0 points at closing unless we have agreed on different terms).

*If you are not the Principal in the transaction, in what capacity are you serving?  For example, you might be the lead contact with limited Power of Attorney.  

*All necessary contact information if not on your letterhead. This should include: Name, Title, Company name, State of Incorporation (if any), complete address, phone number, cell number, fax number, and e-mail address.

*If you were introduced to us by a third party please indicate the agent’s name for our records.

The above need be no more than one page.
  1. Attach evidence of your financial capability to cover the initial cost of funds indicated above.  This may be in the form of a current bank or brokerage statement with the account numbers removed for your protection and ours.

After we have received the above information, we will review the project with our investment committee expeditiously.  We will then introduce you to our investment team, and contracts reflecting the transaction will be drawn up for your review.  This process should be completed in less than 5 business days.