Securities transactions must be reported to the trading venue where the securities are admitted for trading.
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.
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.1
Trading venues shall have a dedicated office (reporting office) in their organisation for receiving and processing reports.
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.
Footnotes
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). ↩
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