FINMA Financial Market Infrastructure Ordinance
(Art. 51 FinIA; Art. 39 FinMIA)
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. 2 Transactions to be reported
Securities firms under FinIA and participants admitted to a trading venue must report all transactions under Article 75 FinIA and Article 37 FinMIO to the addressee under Article 5.
Art. 2 — 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).
Art. 3 Contents of the report
1 The report shall contain the following details: a. the name of the securities firm subject to the reporting duty in accordance with FinIA or the participant admitted to a trading venue; b. the transaction type (buy/sell); c. the exact name of the securities or derivatives in question; and additionally in the case of derivatives: the name of the underlyings and further determining characteristics of the derivative, namely the classification of the derivative; d. the volume of the transaction as follows: nominal amount for bonds, units or contracts for other securities and derivatives; e. the price of the securities or derivatives in question; and additionally in the case of derivatives, the further value-determining parameters, depending on the classification of the derivative, namely whether it is a call or put option, the strike price, the price multiplier and the term of the contract or the expiry date; f. the date and time of execution; g. … h. whether it is a proprietary or clien
Para. 1 let. a — 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). Para. 1 let. c — Amended by No I of the FINMA O of 8 Dec. 2022, in force since 1 Feb. 2023 (AS 2022 845). Para. 1 let. e — Amended by No I of the FINMA O of 8 Dec. 2022, in force since 1 Feb. 2023 (AS 2022 845). Para. 1 let. g — Repealed by No I of the FINMA O of 8 Dec. 2022, with effect from 1 Feb. 2023 (AS 2022 845). Para. 1 let. i — Term in accordance with
Art. 4 Reporting deadline
Transactions shall be reported within the deadlines outlined in the regulations of the trading venue to which the report is addressed.
Art. 5 Report addressee
1 Securities transactions must be reported to the trading venue where the securities are admitted for trading. 2 If a security is admitted for trading at more than one trading venue in Switzerland licensed by FINMA, the reporting parties may choose at which trading venue to fulfil their reporting obligations. 3 The derivatives transactions under Article 75 paragraph 2 FinIO and Article 37 paragraph 2 FinMIO must be reported to the trading venue where the underlying is admitted for trading. If the derivative has more than one security as underlyings, the report may be made to the trading venue where one of the underlyings is admitted for trading. 4 Trading venues shall have a dedicated office (reporting office) in their organisation for receiving and processing reports. 5 The reporting office shall issue a set of regulations. It may request adequate compensation for any duties commissioned by FINMA. The rates are submitted to FINMA for approval.
Para. 3 — 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).