Ordinance
on Financial Institutions
(Financial Institutions Ordinance, FinIO)

English is not an official language of the Swiss Confederation. This translation is provided for information purposes only and has no legal force.

of 6 November 2019 (Status as of 1 August 2021)


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Art. 74 Record-keeping duty

(Art. 50 Fin­IA)

1The se­cur­it­ies firm must keep a re­cord of all or­ders re­ceived by it and all trans­ac­tions in se­cur­it­ies ex­ecuted by it.

2The re­cord-keep­ing duty also ap­plies to or­ders and trans­ac­tions in de­riv­at­ives whose un­der­ly­ing in­stru­ments are se­cur­it­ies ad­mit­ted to trad­ing on a trad­ing ven­ue or DLT trad­ing fa­cil­ity33.

3It ap­plies not only to trans­ac­tions for own ac­count, but also to trans­ac­tions ex­ecuted on be­half of cli­ents.

4FINMA shall reg­u­late which in­form­a­tion is ne­ces­sary and what form it is to be re­cor­ded in.

33 Term in ac­cord­ance with No I 7 of the O of 18 June 2021 on the Ad­apt­a­tion of Fed­er­al Law to De­vel­op­ments in Dis­trib­uted Ledger Tech­no­logy, in force since 1 Aug. 2021 (AS 2021 400). This amend­ment has been taken in­to ac­count only in the pro­vi­sions men­tioned in the AS.

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