FINMA Financial Market Infrastructure Ordinance
(Art. 74 para. 4 FinIO; Art. 36 para. 4 FinMIO)
Amended by Annex No 5 of the FINMA O of 4 Nov. 2020 on Financial Institutions, in force since 1 Jan. 2021 (AS 2020 5327).
English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force.
Art. 1
1 Securities firms under FinIA and participants admitted to a trading venue record the orders and transactions which must be recorded under Article 74 FinIO and Article 36 FinMIO in a ledger, regardless of whether or not the securities or derivatives are traded on a trading venue. The ledger may also be divided into journals. 2 The following shall be recorded in the ledger for all received orders: a. the name of the securities and derivatives; b. the time the order was received; c. the name of the person placing the order; d. the name of the transaction and order type; e. the volume of the order. 3 The following shall be recorded in the ledger for completed transactions: a. the time of execution; b. the volume of the execution; c. the attained or allocated price; d. the place of execution; e. the name of the counterparty; f. the value date. 4 The received orders and completed transactions, regardless of whether they are subject to the reporting duty outlined in Chapter 2, shall be reco
Para. 1 — As most participants are legal entities, gender-neutral terminology is not used in this text. Para. 1 — Amended by Annex No 5 of the FINMA O of 4 Nov. 2020 on Financial Institutions, in force since 1 Jan. 2021 (AS 2020 5327).