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Financial Advisor Non Solicitation Agreement

Financial Advisor Non Solicitation Agreement Template for Switzerland

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Key Requirements PROMPT example:

Financial Advisor Non Solicitation Agreement

"I need a Financial Advisor Non-Solicitation Agreement for a senior wealth manager joining our Swiss private bank in March 2025, with special focus on protecting our high-net-worth client relationships in the Zurich and Geneva regions."

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Document background
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.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions




































Clauses






























Relevant Industries

Financial Services

Banking

Wealth Management

Investment Management

Private Banking

Insurance

Corporate Finance

Asset Management

Financial Technology

Pension Fund Management

Relevant Teams

Human Resources

Legal

Compliance

Wealth Management

Private Banking

Investment Advisory

Client Relations

Risk Management

Operations

Executive Management

Relevant Roles

Financial Advisor

Wealth Manager

Investment Consultant

Private Banker

Portfolio Manager

Relationship Manager

Investment Advisor

Client Advisor

Senior Financial Planner

Asset Manager

Investment Specialist

Private Client Advisor

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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