2020-11-04

FINMA Circular 2018/2 Duty to report securities transactions

FINMA issued Circular 2018/2 to define the reporting obligations for trading venue participants and securities firms under the Financial Market Infrastructure Act and Financial Institutions Act. The circular mandates that all participants report transactions in Swiss securities and derivatives with significant Swiss underlyings, specifying detailed requirements for beneficial owner identification and transaction data submission. It further outlines exemptions for certain cross-border trades and provides a comprehensive summary of reportable versus non-reportable activities for equities, bonds, derivatives, and other financial instruments.

Switzerland

Swiss Financial Market Supervisory Authority

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