Ordinance of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading

The re­port made shall con­tain the fol­low­ing de­tails:

a.

the name of the se­cur­it­ies deal­er tasked with for­ward­ing the re­port un­der SESTA 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;

d.

the scope of the trans­ac­tion as fol­lows: nom­in­al amount for bonds, units or con­tracts for oth­er se­cur­it­ies and de­riv­at­ives;

e.

the price;

f.

the date and time of ex­e­cu­tion;

g.

the value date;

h.

wheth­er it is a pro­pri­et­ary or cli­ent trans­ac­tion;

i.

the name of the coun­ter­party as a stock ex­change mem­ber, oth­er se­cur­it­ies trader, cus­tom­er; for for­ward­ing or­ders: the prin­cip­al;

j.

the name of the trad­ing ven­ue where the se­cur­it­ies or de­riv­at­ive were traded, or no­ti­fic­a­tion that the trans­ac­tion was made out­side a trad­ing ven­ue;

k.

for cli­ent trans­ac­tions: a stand­ard ref­er­ence en­abling iden­ti­fic­a­tion of the be­ne­fi­cial own­er of the trans­ac­tion (Art. 37 para. 1 let. d FMIO and Art. 31 para. 1 let. d SESTO).