Retain engagement agreements, compensation disclosures, relevant registration information and material written representations. Keep them beside the offering and subscription documents so the investor can compare what was recommended with what was signed.
Clarify the source of each statement
Record who supplied project facts and which professional independently reviewed them. Ask counsel about applicable regional-centre promoter requirements and investor disclosures. Preserve explanations of referral or sales payments without assuming that a brief verbal assurance is complete.
If the scope of representation changes, obtain updated written terms rather than relying on the original introduction email. Authorship is the attribute to record beside every document you keep. Note who wrote it, in what capacity, and whether it was prepared for you or for the offering, because a year later that distinction is impossible to reconstruct from the text alone.
An engagement letter defines whose interests a professional serves and what they have agreed to do; where its scope excludes suitability, project diligence or securities questions, that exclusion is the most consequential sentence in the document. Hypothetical example: a survey-research operations project circulates a diligence memorandum carrying no addressee and no author beyond a firm name, leaving an investor holding an assurance nobody has assumed responsibility for. Written compensation and referral disclosures belong in the same file, since they explain the position from which each statement was made.