Reporting Office Rules for the Fulfilment of the Legal Reporting Requirements for Securities Dealers

Table of contents

• 1 Purpose
• 2 Terms and definitions
• 3 Scope
• 3.1 Securities dealers subject to reporting obligations
• 3.2 Legal Transactions subject to reporting obligations
• 3.2.1 Principle
• 3.2.2 Exceptions
• 3.2.3 Foreign participants in a Swiss stock exchange (Remote Member)
• 4 Registration and tools (reporting tools)
• 5 Contents of the report
• 6 Trade Report
• 6.1 Transaction
• 6.2 Reporting deadlines
• 6.2.1 Principle
• 6.2.2 Exceptions
• 6.3 Publication
• 6.3.1 Principle
• 6.3.2 Delayed publication of transactions in shares and investment funds
• 6.3.3 Publication of transactions in CHF bonds
• 6.3.4 Publication of transactions in international bonds
• 7 Transaction Report
• 7.1 Transmission of Order
• 7.2 Transactions on foreign stock exchanges or MTFs recognised by FINMA
• 7.3 Eurex contract transactions not traded at Eurex
• 7.4 Reporting deadlines
• 7.5 Publication
• 8 Fees
• 8.1 Principle
• 8.2 Reporting Fees
• 8.3 Payment dates
• 9 Correction and cancellation of reports
• 10 Reports after emergencies
• 11 General terms and conditions, and place of jurisdiction
• 11.1 Liability for incomplete and incorrect data
• 11.2 Inspection right
• 11.3 Amendments to the Rules
• 11.4 Applicable law and place of jurisdiction
• 11.5 Entry into force and transitional rules
• 11.5.1 Entry into force
• 11.5.2 Transitional rules for foreign participants (Remote Member)
• Annexes
• Annex A - Delayed publication of block transactions in shares and investment funds
• Annex B - Reporting Fees