Compliance and Settlement Services, Inc.

Cost Structure

Compliance and Settlement Services (C&SS) offers services under a competitive cost structure that most companies offering securities will find more cost effective than using a law firm to handle the verification of potential investor status, effected documents, and the source of their funds.

Client companies engage C&SS by means of a service agreement that is based on a monthly recurring fee and individual transaction fees. The monthly rate includes around the clock access to C&SS team members, an electronic archival of the related Offering documents, receiving of potential investor funds, settlement payments to approved vendors, an entire accounting of funds received and disbursements made, and direct assistance with potential investors throughout the onboarding process.

A fixed rate transaction fee for each potential investor includes a C&SS team member providing the verification of properly effected subscription documents, verification of potential investor status as established by the SEC, and verification of the source of funds from the potential investor.

Additional transactional fees include a one-time set up fee that allows for the review and preparation of the various documents related to the client company's offering. These documents usually include an offering memorandum, subscription agreement, and an accredited investor questionnaire. Once these documents have been reviewed, uploaded, and accepted, Compliance and Settlement Services incorporates its additional accredited investor verification forms and provides the entire document set via an electronically executable DocuSign to potential investors of the client company upon request.

For entities that do not elect to contract the full suite of services, C&SS offers a quick, one-time fee, to provide verification of an accredited investors status.