Ordinance
of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
(FINMA Financial Market Infrastructure Ordinance, FinMIO-FINMA)

¹ Se­cur­it­ies firms un­der Fin­IA and par­ti­cipants⁷ ad­mit­ted to a trad­ing ven­ue re­cord the or­ders and trans­ac­tions which must be re­cor­ded un­der Art­icle 74 FinIO and Art­icle 36 Fin­MIO in a ledger, re­gard­less of wheth­er or not the se­cur­it­ies or de­riv­at­ives are traded on a trad­ing ven­ue. The ledger may also be di­vided in­to journ­als.⁸

² The fol­low­ing shall be re­cor­ded in the ledger for all re­ceived or­ders:

a.

the name of the se­cur­it­ies and de­riv­at­ives;

b.

the time the or­der was re­ceived;

c.

the name of the per­son pla­cing the or­der;

d.

the name of the trans­ac­tion and or­der type;

e.

the volume of the or­der.

³ The fol­low­ing shall be re­cor­ded in the ledger for com­pleted trans­ac­tions:

a.

the time of ex­e­cu­tion;

b.

the volume of the ex­e­cu­tion;

c.

the at­tained or al­loc­ated price;

d.

the place of ex­e­cu­tion;

e.

the name of the coun­ter­party;

f.

the value date.

⁴ The re­ceived or­ders and com­pleted trans­ac­tions, re­gard­less of wheth­er they are sub­ject to the re­port­ing duty out­lined in Chapter 2, shall be re­cor­ded in a stand­ard­ised format, so that the in­form­a­tion can be de­livered to FINMA promptly and in its en­tirety on re­quest.