Ordinance
on Financial Institutions
(Financial Institutions Ordinance, FinIO)

of 6 November 2019 (Status as of 23 January 2023)


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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 fa­cil­ity34.

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.

34 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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