Legal + Protocol + Timing: Contracts, Constraints, Resignation

This is where “smooth” is won or lost: contract obligations, Protocol status, and timing. Treat this as your risk-management lane.

1) Review contracts and agreements

Carefully review your agreements to understand termination clauses, notice periods, and obligations so your plan isn’t built on assumptions. fileciteturn1file0

Clauses to flag (plain English)

• Non-solicit / non-compete: what it restricts and for how long
• Confidentiality + data handling: what can/can’t be retained
• Repayment triggers: loans, forgivable notes, incentives
• Resignation procedure: notice timing + process
• Communications rules: archiving/review requirements

2) Protocol: the question you must answer early

One of the most important questions is Protocol. Broker Protocol (when applicable) allows you to take specific client information (e.g., names, contact info, account titles) under defined conditions. fileciteturn1file0

Practical takeaway: Protocol status shapes your outreach plan and what “day one” looks like. Build a plan that still works if conditions change.

3) Choose your resignation date using billing reality

Review your billing/payment structure (monthly vs quarterly) and choose a resignation date that minimizes avoidable surprises. fileciteturn1file0

Timing planner (copy/paste)

• Billing cycles: ______
• Target move window: ______
• Cash buffer plan: ______
• High-risk window to avoid: ______ (why)

4) Resignation letter (keep it short)

Template:

[Date]

[Manager Name]
[Firm Name]

Dear [Manager Name],

Please accept this letter as formal notice of my resignation from [Firm Name], effective [date].

Thank you for the opportunities and support during my time here.

Sincerely,
[Your Name]

Deliverable

• Constraints summary (what you know / what you’re confirming)
• Protocol posture + contingency plan
• Chosen resignation window aligned to billing cycles

Next step

Now build the execution plan and pressure-test it: Transition Execution Playbook.

Disclosure: Educational content only. Consult your compliance, legal, and tax professionals for advice.