The Short Sale Contract is a crucial document used in Swiss financial markets when an investor intends to sell securities they do not currently own. This agreement is particularly important in Switzerland's highly regulated financial environment, where strict compliance with FINMA regulations and the Financial Market Infrastructure Act is essential. The contract establishes the legal framework for borrowing securities, sets margin requirements, defines settlement procedures, and allocates risks between parties. It is commonly used by financial institutions, investment firms, and sophisticated investors engaging in short selling strategies. The document includes specific provisions required under Swiss law, including risk disclosures, reporting obligations, and regulatory compliance measures. Given Switzerland's position as a major financial center, this contract type often involves cross-border elements and must address international securities trading considerations while maintaining compliance with Swiss regulatory requirements.
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1. Parties: Identification of the parties to the contract including the seller (short seller) and the broker/dealer
2. Background: Context of the transaction and relationship between the parties
3. Definitions: Key terms used throughout the agreement including financial instruments, trading days, settlement terms
4. Subject Matter of the Contract: Description of the securities to be sold short and transaction specifics
5. Margin Requirements: Initial and maintenance margin requirements, calculation methods
6. Borrowing Arrangements: Terms for borrowing the securities, including lending fees and recall provisions
7. Settlement Terms: Delivery and payment obligations, settlement procedures and timeframes
8. Rights and Obligations: Detailed responsibilities of each party including reporting requirements
9. Default and Remedies: Events of default and corresponding remedial actions
10. Representations and Warranties: Standard declarations by both parties regarding capacity and authority
11. Governing Law and Jurisdiction: Confirmation of Swiss law application and jurisdiction
12. Signatures: Execution block for all parties
1. Risk Disclosure: Detailed disclosure of risks specific to short selling, required when dealing with non-institutional clients
2. Term and Termination: Include when the agreement is intended for multiple transactions or ongoing relationship
3. Intermediary Provisions: Required when additional parties such as custodians or clearing houses are involved
4. Tax Provisions: Specific tax-related terms, necessary for cross-border transactions or complex tax situations
5. Confidentiality: Detailed confidentiality terms, recommended for transactions involving sensitive information
6. Force Majeure: Provisions for extraordinary events, recommended for longer-term arrangements
1. Schedule 1 - Securities Specification: Detailed description of the securities to be sold short including ISIN, quantity, and market
2. Schedule 2 - Margin Calculations: Detailed methodology for calculating initial and maintenance margins
3. Schedule 3 - Fee Schedule: Breakdown of all applicable fees including borrowing fees and transaction costs
4. Schedule 4 - Settlement Instructions: Detailed settlement and payment instructions including account details
5. Appendix A - Required Regulatory Disclosures: Standard regulatory disclosures required under Swiss law
6. Appendix B - Contact Details: List of authorized representatives and contact information for both parties
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