Reporting Obligations and Scope
Our trading participants and reporting members are subject to reporting obligations and required to report all the information necessary to ensure a transparent market. Trades and transmissions of orders in reportable financial instruments done by securities firms subject to the reporting obligation shall be reported no matter if they were traded on- or off order book, executed on- or off exchange and regardless of whether the order is on behalf of a client or for proprietary trading.
SER (SIX Exchange Regulation) as reporting office for the Swiss Stock Exchange receives reports and processes them.SER Website
Your Benefits on the Swiss Stock Exchange
Trade and transaction reporting creates transparency for all market participants.
As a regulated market, the Swiss Stock Exchange ensures fairness and equal treatment.
Our Reporting Tool consists of a web-based graphical user interface and a Transaction File Interface.
Trade Reporting & Transaction Reporting
The legal duty to report distinguishes between reports in terms of post trade transparency (trade reporting) and reports in terms of traceability to ensure compliance with regulatory requirements (transaction reporting). The Swiss Stock Exchange publishes the details of trade reports required to ensure the post trade transparency of securities trading whereas transaction reports are not published. Further details as well as information about transactions subject to the reporting obligation are available in our Reporting Guide (see below).
FINMA Circular 2018/2
The circular defines which securities and derivatives are subject to the obligation to report and which business transactions are subject to the obligation to report.
Reporting Office Rules
The reporting regulations define how trades in securities and derivatives must be reported.
This guide describes the basic trades and transactions that are to be reported to the Reporting Office.
Best Practice Guide Transaction Reporting
To open this link, please log in to the member section first.
Register to Submit Reports
To register with the Reporting Office as a Reporting Member, a corresponding application form must be filled in and submitted to Member Services.
If the application is accepted, the Swiss Stock Exchange grants the Reporting Member free access to the Reporting Tool in the Member Section, for which the Reporting Member then needs to request a user account.
Participants are deemed registered with the Reporting Office and are automatically registered for the Member Section during the connection process.
Download the form to register as a Reporting Member of the Swiss Stock Exchange.Download Form
Discover Our Reporting Tool
Reporting Members can send their reports via the Reporting Tool, consisting of a web-based graphical user interface (Trade & Transaction Report) and a Transaction File Interface (Transaction Report). Participants can send their trade reports via the Standard Trading Interface (STI) but may also use our Reporting Tool as a back-up solution.
Foreign Disclosure Offices
These are the foreign disclosure offices currently recognized by SIX, as well as approved publication arrangements and approved reporting mechanisms for our remote members.
CBOE EUROPE LIMITED, London, United Kingdom (APA)
TRADEcho, London, United Kingdom (APA)
Trax, London, United Kingdom (ARM)
Reporting: Critical for Transparency
Effective reporting is essential to make sure the market remains transparent. And because transparency is critical to everything we do, we provide not only all the necessary tools to meet these reporting requirements, but also provide guidance.
We keep and publish a list of all our reporting members to keep our unique network as transparent as possible.List of Reporting Members
On-Exchange, Off-Order-Book Trading (for Participants)
The SWXess trading platform supports the reporting of on exchange, off order book trading. Participants may use the following functionalities at any time during trading hours. Further Information can be found in the Trading Rules and in the Directive 3: Trading.
Application Form for Reporting Members
Reporting Agent Registration and Modification
Reporting Agent Declaration of Personal Reliability