The Short Sale Agreement is essential for financial institutions and investors operating in the Swiss market who engage in short selling activities. This document is typically used when a party wishes to sell borrowed securities with the intention of buying them back at a lower price, thereby potentially profiting from a decline in the security's value. The agreement must comply with Swiss regulatory requirements, particularly the Financial Market Infrastructure Act (FMIA) and FINMA regulations, which govern securities trading and market conduct. It includes crucial details about margin requirements, settlement procedures, fees, and risk management measures. The document is designed to protect both lender and borrower interests while ensuring transparency and compliance with Swiss financial market regulations. Key components include securities identification, borrowing terms, collateral requirements, and default provisions.
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1. Parties: Identification of the lender and borrower, including full legal names, addresses, and registration details
2. Background: Context of the agreement and brief description of the short sale arrangement
3. Definitions: Key terms used throughout the agreement, including financial terms specific to short selling
4. Securities Subject to Short Sale: Detailed description of the securities being sold short, including quantity and identification
5. Transaction Terms: Core terms including sale price, duration, and execution requirements
6. Margin Requirements: Initial and maintenance margin requirements, calculation methods, and margin calls
7. Rights and Obligations: Specific duties of each party, including reporting obligations and regulatory compliance
8. Settlement and Delivery: Terms for closing out the short position and delivering securities
9. Fees and Costs: All applicable fees, interest rates, and transaction costs
10. Representations and Warranties: Standard declarations by both parties regarding capacity and authority
11. Events of Default: Circumstances constituting default and consequences
12. Termination: Conditions and process for early termination
13. Governing Law and Jurisdiction: Confirmation of Swiss law application and jurisdiction for disputes
1. Custodian Arrangements: Required when a third-party custodian is involved in holding collateral or securities
2. Cross-Border Provisions: Needed when either party is located outside Switzerland or transaction involves foreign securities
3. Tax Provisions: Detailed tax handling when specific tax arrangements or withholding requirements apply
4. Market Disruption: Provisions for handling market disruption events, required for volatile securities
5. Electronic Trading Provisions: Required when execution is through specific electronic platforms
6. Reporting Requirements: Additional section for enhanced reporting obligations for certain types of securities or parties
1. Schedule 1 - Securities Details: Detailed specification of the securities including ISIN, ticker symbols, and relevant market information
2. Schedule 2 - Pricing and Fees: Detailed breakdown of all applicable fees, charges, and pricing mechanisms
3. Schedule 3 - Margin Calculations: Specific formulae and methods for calculating margin requirements
4. Schedule 4 - Settlement Instructions: Detailed settlement and payment instructions including account details
5. Appendix A - Required Notices: Forms and templates for various notices required under the agreement
6. Appendix B - Regulatory Disclosures: Standard regulatory disclosures required under Swiss law
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Investment Banking
Asset Management
Securities Trading
Hedge Funds
Private Banking
Wealth Management
Institutional Investment
Brokerage Services
Relevant Teams
Legal
Compliance
Trading
Risk Management
Operations
Settlement
Documentation
Finance
Investment Management
Regulatory Reporting
Prime Brokerage
Client Services
Relevant Roles
Trading Director
Risk Manager
Compliance Officer
Legal Counsel
Securities Operations Manager
Portfolio Manager
Investment Advisor
Prime Brokerage Manager
Settlement Officer
Financial Controller
Trade Documentation Specialist
Regulatory Reporting Officer
Chief Investment Officer
Head of Trading
Securities Lending Manager
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