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Reporting Requirement

Securities dealing in Switzerland is only possible with authorisation from the Swiss Financial Market Supervisory Authority (FINMA), and is therefore subject to the provisions of the Federal Act on Stock Exchanges and Securities Trading (SESTA). In accordance with Article 15 SESTA, securities dealers are thus obliged to report all on- and off-order book trades in securities that are approved for trading on the SIX Swiss Exchange. Additionally, participants of SIX Swiss Exchange are subject to the reporting obligation according to Article 39 of the Federal Act on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading.

Foreign exchange participants

Foreign banks and brokers (remote member) - including all participants of SIX Swiss Exchange who are not domiciled in Switzerland - are subject to the reporting requirement.

Fundamental transparency

The reporting requirement guarantees transparency in relation to securities trading. In accordance with Article 5 paragraph 3 SESTA, the Exchange undertakes to disclose all necessary information to this effect.

Further information

The Rule Book[pdf] of SIX Swiss Exchange articulate the basic principles behind the reporting requirement. For further information, please also refer to: