958.11FinMIOFederal Council OrdinanceJan 1, 2016Original source
(Art. 38 FinMIA)
The participants admitted to a trading venue shall keep a record of all orders they receive and all securities transactions they execute.
The record-keeping duty also applies to orders and transactions in derivatives whose underlying instruments are securities admitted to trading on a trading venue.
The record-keeping duty applies not only to transactions on own account, but also to transactions executed on behalf of a client.
FINMA shall regulate what information is necessary and in what form it must be recorded.
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