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Eligibility & Compliance Pre-Assessment
Determining whether a mandate meets ECM’s standards for complexity, scale, and regulatory integrity.
Efficient Consulting & Management Inc. (ECM) accepts only a limited number of high-value mandates each year. This Eligibility & Compliance Pre-Assessment serves as a structured guide to determine whether a prospective engagement meets our moral parameters, financial threshold, compliance requirements, and strategic fit criteria prior to completing the full onboarding process.
This page outlines the standards, definitions, service tiers, and documentation requirements governing ECM’s initial pre-assessment. It is designed to ensure clarity, transparency, and alignment before any formal engagement is considered.
Key Terms & Definitions
- Engagement Tier — Defines the scope, depth, and duration of services provided by ECM. Tiers reflect mandate complexity, jurisdictional requirements, and the strategic intensity required.
- Project Size — The total financial scope or transaction value of the mandate. This acts as an indicator of risk, complexity, and due diligence requirements.
- Included Services — Advisory, structuring, compliance preparation, documentation, transaction packaging, and all deliverables specified in the Engagement Letter.
- Out-of-Scope Services — Any services not explicitly listed in the Engagement Letter, including extraordinary work, additional re-structuring, or new deliverables requiring separate written approval and additional fees.
ECM Tier & Fee Framework (Indicative)
The following tiers provide an indicative outline of the level of service, depth of involvement, and fee structures typical for mandates that meet ECM’s minimum engagement size.
| Tier | Typical Project Size (USD) | Description / Focus | Indicative Fee Range* |
|---|---|---|---|
| Tier 1 – Foundational Advisory | $25M – $50M | Initial structuring, feasibility analysis, capital readiness, and transaction packaging for substantial mandates. | $250,000 – $400,000 |
| Tier 2 – Structuring & Transaction Readiness | $50M – $150M | Entity structuring, compliance alignment, banking preparation, documentation, and full transaction readiness. | $400,000 – $650,000 |
| Tier 3 – Finance Preparation & Sourcing | $150M – $300M | Investor/funder packaging, capital sourcing support, cross-border feasibility, and multi-jurisdictional structuring. | $600,000 – $1,000,000 |
| Tier 4 – Comprehensive Management & Advisory | $250M+ | Fully embedded advisory and management for complex, multi-jurisdiction mandates requiring long-term oversight, governance, and transaction execution. | $2,000,000+ (by quotation) |
* Fees are indicative. Final scope, deliverables, and fee structure are confirmed during the Engagement Letter stage. Out-of-scope work requires a separate agreement.
Minimum Engagement Requirement: ECM accepts only mandates of USD 25,000,000 or greater. Mandates below this threshold cannot be considered.
ECM Eligibility & Compliance Philosophy
ECM operates under a disciplined, compliance-first model aligned with global regulatory frameworks. Every prospective engagement undergoes a structured evaluation of financial scale, jurisdictional requirements, documentation readiness, and risk profile prior to acceptance.
- All information submitted is handled with strict confidentiality under STRATA™ standards.
- ECM’s internal processes align with international compliance frameworks, including FATCA, KYC/AML, and jurisdiction-specific regulations.
- Engagement acceptance is discretionary and contingent upon compliance clearance and strategic fit.
Who Typically Qualifies
ECM serves clients engaged in large-scale cross-border transactions, multi-jurisdictional structuring, or significant capital events. Typical profiles include:
- Ultra-high-net-worth individuals with liquidity events or major investment objectives.
- Family offices requiring cross-border structuring, governance, and long-term asset protection.
- Corporations preparing for major acquisitions, capital raises, or international expansion.
- Institutional sponsors and intermediaries managing multi-jurisdictional mandates.
- Development funds and foundations undertaking large-scale capital deployment.
Eligibility Requirements:
- Minimum project or transaction value: USD 25,000,000.
- Transparent source of funds and a legitimate business/investment purpose.
- Willingness to provide all required documentation for KYC/AML and regulatory compliance.
- Commitment to ECM’s structured, compliance-first methodology.
Completion of this pre-assessment does not guarantee engagement. All engagements are accepted at ECM’s discretion after compliance and strategic review.
Onboarding Structure & Fees
ECM employs a two-stage onboarding structure to ensure strategic alignment and regulatory integrity.
- Preliminary Review & Fee Quote — A non-refundable review fee (USD 15,000 – 50,000) is charged for ECM’s initial compliance and complexity assessment. This fee is credited toward the engagement invoice if accepted within 30 days.
- Full Onboarding & Engagement Kickoff — Upon acceptance, ECM initiates detailed due diligence, structuring, documentation assembly, banking alignment, and allocation of the engagement team.
Professional Fees May Include:
- Structuring and consulting retainers.
- Mobilization or initiation fees for complex mandates.
- Monthly advisory or management retainers.
- Performance or success-based components (where appropriate).
Third-party fees (legal, regulatory, banking, filings) are billed separately and will be disclosed clearly.
Document & Information Requirements
As part of ECM’s STRATA™ compliance framework, clients may be required to submit some or all of the following:
- Government-issued identification and proof of residential address.
- Corporate documents, UBO structures, and trust deeds (if applicable).
- Financial statements and source-of-funds documentation.
- Banking details and institutional contact information.
- Incorporation documents for relevant entities or trusts.
- Additional documents as required for compliance, due diligence, and banking coordination.
Declaration & Consent
By participating in this Eligibility & Compliance Pre-Assessment, you acknowledge and agree that:
- All submitted information is true, complete, and accurate.
- You consent to compliance screening, secure digital communication, and e-signature processes.
- Engagement acceptance is discretionary following ECM’s compliance and strategic review.
- You understand that out-of-scope work and third-party costs are billed separately.
Operating Account Assurance
For retainer clients, ECM uses a client-owned, non-custodial Operating Account model for settlement of authorized fees and expenses. This ensures transparent reconciliation, process integrity, and financial clarity aligned with STRATA™ oversight. For non-retainer mandates, ECM accepts account settlement directly to our global bankers per jurisdiction, or to strategic paymasters.
Contact & Submission
Please proceed with the Prospect Intake Form only if your mandate meets the standards outlined above, especially the minimum financial threshold engagement of USD 25,000,000.
ECM will review submissions and respond within five (5) business days.