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

Art. 113 Documentation

(Art. 116 Fin­MIA)

1 Fin­an­cial and non-fin­an­cial coun­ter­parties shall reg­u­late, in writ­ing or in an­oth­er form that that al­lows for proof by text, the pro­cesses with which they en­sure ful­fil­ment of the du­ties with re­spect to:48

a.
clear­ing via a cent­ral coun­ter­party (Art. 97 Fin­MIA);
b.
de­term­in­ing thresholds (Art. 100 Fin­MIA);
c.
re­port­ing to a trade re­pos­it­ory (Art. 104 Fin­MIA);
d.
risk mit­ig­a­tion (Art. 107 Fin­MIA);
e.
trad­ing via trad­ing ven­ues and or­gan­ised trad­ing fa­cil­it­ies (Art. 112 Fin­MIA).

2 Non-fin­an­cial coun­ter­parties which do not want to trade in de­riv­at­ives may set out this res­ol­u­tion in writ­ing or in an­oth­er form that that al­lows for proof by text, in which case they are ex­empt from the duty set out in para­graph 1.49

3 Fin­an­cial coun­ter­parties ap­poin­ted by oth­er fin­an­cial or non-fin­an­cial coun­ter­parties to im­ple­ment their du­ties shall reg­u­late the cor­res­pond­ing pro­cesses in ac­cord­ance with para­graph 1 by ana­logy.

48 Amended by An­nex 1 No II 14 of the Fin­an­cial In­sti­tu­tions Or­din­ance of 6 Nov. 2019, in force since 1 Jan. 2020 (AS 2019 4633).

49 Amended by An­nex 1 No II 14 of the Fin­an­cial In­sti­tu­tions Or­din­ance of 6 Nov. 2019, in force since 1 Jan. 2020 (AS 2019 4633).