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Ordinance
on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading
(Financial Market Infrastructure Ordinance, FinMIO)

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:

a.
nat­ur­al per­sons:
1.
de­tails on na­tion­al­ity, dom­i­cile, qual­i­fied par­ti­cip­a­tions in oth­er com­pan­ies and any pending court or ad­min­is­trat­ive pro­ceed­ings,
2.
a cur­riculum vitae signed by the rel­ev­ant per­son,
3.
ref­er­ences,
4.
an ex­tract from the re­gister of crim­in­al con­vic­tions;
b.
com­pan­ies:
1.
the art­icles of as­so­ci­ation,
2.
an ex­tract from the com­mer­cial re­gister or an at­test­a­tion to this ef­fect,
3.
a de­scrip­tion of busi­ness activ­it­ies, the fin­an­cial situ­ation and, if ap­plic­able, the group struc­ture,
4.
de­tails on com­pleted and pending court or ad­min­is­trat­ive pro­ceed­ings.

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.