Art. 75

(Art. 51 FinIA)

1. The securities firm shall report all transactions it executes involving securities admitted to trading on a trading venue or DLT trading facility. In particular, the following must be reported:
   1. the designation and number of the securities purchased or sold;
   2. the volume, date and time of the transaction;
   3. the price;
   4. the details necessary to identify the beneficial owner.
2. The reporting duty also applies to transactions in derivatives whose underlying instruments are securities admitted to trading on a trading venue or DLT trading facility.
3. It applies not only to transactions for own account, but also to transactions executed on behalf of clients.
4. The following transactions executed abroad do not have to be reported: a. transactions in securities admitted to trading on a trading venue or DLT trading facility in Switzerland and in derivatives with such securities as their underlying instruments, provided the information in question is communicated to the trading venue or DLT trading facility on the basis of an agreement in accordance with Article 32 paragraph 3 FinMIA¹or within the framework of an exchange of information between FINMA and the competent foreign supervisory authority if: 1. said transactions are executed by the branch of a Swiss securities firm or by a foreign admitted participant, and 2. the branch or the foreign participant is authorised to trade by the relevant foreign supervisory authority and is required to report in the corresponding state or in its state of domicile; b. transactions in foreign securities admitted to trading on a trading venue or DLT trading facility in Switzerland and in derivatives with such securities as their underlying instruments, which transactions are executed on a recognised foreign trading venue or DLT trading facility.
5. Third parties may be involved in reporting.