Art. 36 Record-keeping duty of participants
(Art. 38 FinMIA) 1 The participants admitted to a trading venue shall keep a record of all orders they receive and all securities transactions they execute. 2 The record-keeping duty also applies to orders and transactions in derivatives whose underlying instruments are securities admitted to trading on a trading venue. 3 The record-keeping duty applies not only to transactions on own account, but also to transactions executed on behalf of a client. 4 FINMA shall regulate what information is necessary and in what form it must be recorded. |