Commentaries: Art. 3

The report shall contain the following details:
1. ¹ the name of the securities firm subject to the reporting duty in accordance with FinIA or the participant admitted to a trading venue;
2. the transaction type (buy/sell);
3. ² 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;
4. the volume of the transaction as follows: nominal amount for bonds, units or contracts for other securities and derivatives;
5. ³ 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;
6. the date and time of execution;
7. ⁴ …
8. whether it is a proprietary or client transaction;
9. the designation of the counterparty as a stock exchange member, other securities firm⁵, customer; in the case of transmissions of orders: designation of the party to which the order was transmitted;
10. the name of the trading venue where the security or derivative was traded, or the notification that the transaction was made outside a trading venue;
11. for client transactions: a standardised reference enabling the identification of the beneficial owner of the transaction (Art. 37 para. 1 let. d FinMIO and Art. 31 para. 1 let. d FinIO).
For client transactions, it shall further contain a standardised reference enabling the identification of the beneficial owner of the transaction (Art. 37 para. 1 let. d FinMIO and Art. 75 para. 1 let. d FinIO).⁶

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). ↩
Amended by No I of the FINMA O of 8 Dec. 2022, in force since 1 Feb. 2023 (AS 2022 845). ↩
Amended by No I of the FINMA O of 8 Dec. 2022, in force since 1 Feb. 2023 (AS 2022 845). ↩
Repealed by No I of the FINMA O of 8 Dec. 2022, with effect from 1 Feb. 2023 (AS 2022 845). ↩
Term in accordance with Annex No 5 of the FINMA O of 4 Nov. 2020 on Financial Institutions, in force since 1 Jan. 2021 (AS 2020 5327). This amendment has been made throughout the text. ↩
Inserted 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

Footnotes