Ordinance
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Art. 10 Guarantee of irreproachable business conduct
(Art. 9 paras. 2 and 3 FinMIA) 1 The authorisation application for a new financial market infrastructure must contain the following information and documentation in particular on the members of the board and executive management in accordance with Article 9 paragraph 2 FinMIA and on the owners of a qualified participation in accordance with Article 9 paragraph 3 FinMIA:
2 Persons holding a qualified participation must make a declaration to FINMA stating whether they hold the participation in question for their own account or on a fiduciary basis for a third party, and whether they have granted options or similar rights with respect to this participation. 3 The financial market infrastructure must submit to FINMA within 60 days of the end of the financial year a list of all qualified participants in the financial market infrastructure. This list shall contain details on the identity and participation rate of all qualified participants as at the relevant closing date, as well as any changes relative to the prior-year closing date. In addition, the information and documentation set out in paragraph 1 is to be submitted for any qualified participants being reported for the first time. |