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 The re­port shall con­tain the fol­low­ing de­tails:

a.¹¹

the name of the se­cur­it­ies firm sub­ject to the re­port­ing duty in ac­cord­ance with Fin­IA or the par­ti­cipant ad­mit­ted to a trad­ing ven­ue;

b.

the trans­ac­tion type (buy/sell);

c.¹² 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;

d.

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

e.¹³

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;

f.

the date and time of ex­e­cu­tion;

g.¹⁴

…

h.

wheth­er it is a pro­pri­et­ary or cli­ent trans­ac­tion;

i.

the des­ig­na­tion of the coun­ter­party as a stock ex­change mem­ber, oth­er se­cur­it­ies firm¹⁵, cus­tom­er; in the case of trans­mis­sions of or­ders: des­ig­na­tion of the party to which the or­der was trans­mit­ted;

j.

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;

k.

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).

² 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).¹⁶