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

(Art. 17 Fin­MIA)

¹ The re­port that a fin­an­cial mar­ket in­fra­struc­ture must sub­mit to FINMA pri­or to com­men­cing activ­ity abroad must con­tain all the ne­ces­sary in­form­a­tion and doc­u­ment­a­tion for eval­u­at­ing the activ­ity in ques­tion, namely:

a.

a busi­ness plan that de­scribes in par­tic­u­lar the nature of the planned busi­nesses and the or­gan­isa­tion­al struc­ture;

b.

the ad­dress of the of­fice abroad;

c.

the names of the mem­bers of the board and ex­ec­ut­ive man­age­ment;

d.

the audit firm;

e.

the su­per­vis­ory au­thor­ity in the host coun­try.

² The fin­an­cial mar­ket in­fra­struc­ture must also no­ti­fy FINMA of:

a.

any dis­con­tinu­ation of busi­ness activ­ity abroad;

b.

any ma­ter­i­al change in the busi­ness activ­ity abroad;

c.

any change of audit firm;

d.

any change of su­per­vis­ory au­thor­ity in the host coun­try.