The Financial Advisor Non-Solicitation Agreement is essential for Swiss financial institutions seeking to protect their client relationships and workforce stability. It is typically implemented when onboarding new financial advisors or updating existing employment arrangements, particularly for professionals with significant client contact or access to sensitive client information. The agreement, governed by Swiss law, specifically addresses both client and employee non-solicitation provisions, defines restricted periods and geographical scope, and includes enforcement mechanisms. It complies with Swiss financial services regulations (FinSA/FIDLEG) and the Swiss Code of Obligations, while balancing the institution's interests with the advisor's professional mobility rights.
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1. Parties: Identification of the financial advisory firm and the financial advisor
2. Background: Context of the agreement, nature of the advisor's role, and access to confidential information
3. Definitions: Key terms including 'Confidential Information', 'Clients', 'Solicitation', 'Restricted Period', and 'Territory'
4. Duration and Scope: Temporal and geographical scope of the non-solicitation obligations
5. Non-Solicitation of Clients: Specific restrictions on approaching or servicing existing clients
6. Non-Solicitation of Employees: Restrictions on recruiting or hiring firm employees
7. Confidentiality Obligations: Requirements for handling confidential information and client data
8. Acknowledgments: Advisor's confirmation of the reasonableness of restrictions
9. Remedies: Consequences of breach, including injunctive relief and damages
10. General Provisions: Standard clauses including governing law, severability, and entire agreement
1. Garden Leave: Provisions for paid leave during notice period, used when immediate client protection is crucial
2. Client Transition: Procedures for handling client relationships upon termination, relevant for senior advisors
3. Training Compensation: Repayment of training costs, applicable for advisors who received specialized training
4. International Scope: Additional provisions for cross-border activities, needed for advisors working internationally
5. Consideration: Specific compensation for non-solicitation obligations, required in some cases to ensure enforceability
1. Schedule 1: Restricted Clients: List of specific clients covered by the non-solicitation provisions
2. Schedule 2: Territory Definition: Detailed description of geographical areas covered by restrictions
3. Schedule 3: Compensation Details: Specific terms of any consideration provided for the restrictions
4. Appendix A: Confidentiality Agreement: Detailed confidentiality terms and procedures
5. Appendix B: Client Handover Protocol: Procedures for transitioning client relationships upon termination
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