Submission does not create an engagement. Engagement begins only upon written acceptance and execution of definitive documentation.
ENGAGEMENT PATHWAY
A disciplined pathway from inquiry to execution. Screening exists to protect time, integrity, and outcomes.
WHY WE SCREEN FIRST
We accept a limited number of mandates (for quality control purposes), and we do not operate on exploratory,informal, or uncontrolled execution terms. Our intake process is designed to protect all parties by establishing clarity on (i) scope, (ii) authority, (iii) documentation integrity, (iv) compliance posture, and (v) a bankable execution pathway where banking/SWIFT workstreams are involved. As it pertains to Advisory & Retainer mandates, screening first establishes a good fit between us and our valued clients.
This process:
Establishes compliance posture early (KYC/KYB/AML where applicable).
Prevents authority gaps and conflicting instruction chains.
Maintains controlled channels and record integrity.
Reduces document drift and misrouting risk.
Confirms institutional viability regarding the execution pathway.
Establishes a good working relationship with clients.
Step 1 — Self-Eligibility Assessment
This is the structured entry point. This helps the intended client confirm whether their mandate meets the baseline requirements for complexity, scale, and regulatory integrity, and it sets expectations before onboarding.
What you should be prepared to confirm:
Mandate profile and strategic objective.
Jurisdictions involved and counterparties (high level).
Proof of authority (who can sign / instruct).
Source of funds/source of wealth readiness (as applicable).
A willingness to provide KYC/KYB/AML documentation and disclosures.
Minimum threshold (where applicable)
For banking/SWIFT execution mandates, ECM’s BSCA framework is designed for transactions of USD $25,000,000 or the Euro equivalent and above.
Step 2 — Screening Review and Fit Decision
After submission, we evaluate:
Financial scale and transaction constraints (banks, intermediaries, regulators).
Risk profile and integrity posture (sanctions, red flags, inconsistent narratives).
Strategic fit (whether we are the correct execution authority for the workstream).
Important: Completion of the pre-assessment does NOT guarantee engagement. Acceptance is discretionary and contingent on compliance and strategic review.
Step 3 — Select the correct engagement pathway
If accepted in principle, you have the following pathways avalable:
Pathway A — STRATA™ Advisory & Management Retainer (Comprehensive Premium)
For clients who require continuous advisory + management support with formal cadence, reporting, and governance discipline—typically across a holding group or multi-entity architecture.
Operating cadence (high-level)
Monthly cadence with invoicing, ongoing delivery, and a Monthly Services Statement summarizing prior-month hours, deliverables, and pending approvals.
Quarterly strategic reviews and risk/readiness evaluations.
Annual comprehensive review for structural/governance/compliance readiness (non-legal).
Pathway B — Banking & SWIFT Coordination | Transaction Management Mandate (BSCA)
For transaction-specific mandates requiring the banking/SWIFT workstream.
Core scope (high-level)
Bank SWIFT/payment-rail coordination and message support (e.g., **MT199 / MT103 / MT202 / MT202 COV and alignment.
Compliance/document readiness coordination (KYC/KYB/AML; sanctions inputs; SOF/SOW packages where applicable).
Exception handling and remediation to reduce avoidable rejects/holds.
Key boundary conditions
ECM USA does not originate or source the underlying deal. The mandate is execution coordination—not transaction origination. For deal sourcing, please contact ECM INC.
No guarantee of funding, approvals.
Step 4 — Engagement documentation and authority setup
Once eligibility is confirmed and scope is aligned, we formalize the engagement and establish the authority framework required for institutional-grade execution. This step ensures clear mandates, controlled instruction channels, and clean records discipline before any third-party outreach, sensitive data handling, or execution work begins.
4.1 Engagement Agreement Issuance
We issue the applicable engagement agreement(s) and annexes based on the selected tier and scope. These documents define services, deliverables, milestones, fees, confidentiality, governance standards, and dispute resolution terms. Execution begins only after the agreement is fully executed and any conditions precedent are satisfied.
4.2 Authority and Instruction Controls
We confirm—in writing—who is authorized to instruct, approve, and bind the client for the mandate. This includes the authorized signatory list, any delegation limits, approved communication channels, and (where appropriate) dual-control approvals for sensitive releases or treasury-adjacent actions.
4.3 Entity Governance Evidence (Corporate / Trust Clients)
Where the client is an entity, we validate the governance and authority documentation required to support enforceable engagement and operational legitimacy. This may include formation records, operating documents, resolutions authorizing the mandate, incumbency confirmations, and beneficial ownership confirmations aligned to compliance expectations.
4.4 Third-Party Authorization Pack (If Required)
If the mandate involves interaction with banks, counsel, auditors, trustees, escrow/paymaster providers, administrators, or other counterparties, we prepare a controlled authorization pack (e.g., instruction letters and releases) defining who ECM USA LLC may speak with, what may be requested, and how information is handled and logged.
4.5 Secure Workflow and Records Discipline
We activate a secure exchange and records framework designed for auditability and continuity: controlled file access, version control, standardized naming conventions, written instruction capture, decision logs, and deliverable acceptance records.
4.6 Authority-to-Operate Confirmation
Step 4 is complete when the engagement is signed, payments/conditions precedent are satisfied (if applicable), authorized persons and controls are confirmed, governance evidence is validated (for entities), and the secure workflow is live. Only then do we proceed to execution.
“Given Our Institutional Standard, we do not commence execution of any work, counterpart communications, or sensitive document handling until written authority is established, the engagement documentation is complete, and applicable payments are made and duly received.”
Step 5 — Onboarding and documentation intake
Once engaged, we initiate controlled onboarding, including secure communications and the collection of required information.
Common intake items (illustrative)
Government-issued ID + proof of address (individuals).
Corporate format - Any additional documents required for compliance, due diligence, or bank processing.
Step 6 — Execution and reporting
The mandate runs through a controlled workflow designed to keep instructions coherent, documentation consistent, and communications defensible.
For BSCA mandates, the aim is to ensure the banking/SWIFT workstream is structured and sequenced in a manner operationally acceptable to relevant institutions (without implying any guarantee of acceptance or crediting).
Declaration and consent
By submitting the pre-assessment, you acknowledge that:
Information provided is true, complete, and accurate;
You consent to compliance screening and secure communications;
Engagement acceptance is discretionary, and
Third-party costs (legal, banking, filings, etc.) may be billed separately where applicable.