Application of the REGULATION (EU) No 648/2012 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 4 July 2012 on OTC derivatives, central counterparties and trade repositories. Transaction has to be reported to an ESMA licensed Trade Repository (TR). Since the United Kingdom has left the European Union on the January 1st 2021, the FCA (Financial Conduct Authority) has implemented its version of the reporting.

Application of ESMA RTS 22: Regulatory Technical Standards on reporting obligations under Article 26 of MiFIR (Regulation (EU) No 600/2014 of the European Parliament and of the Council). This regulation applies to investment firms and trading venues. Since the United Kingdom has left the European Union on the January 1st 2021, the FCA (Financial Conduct Authority) has implemented its version of the reporting.

Application of ESMA RTS 1 & 2 : Regulatory Technical Standards on reporting obligations under Article 20&21 of MiFIR (Regulation (EU) No 600/2014 of the European Parliament and of the Council). Since the United Kingdom has left the European Union on the January 1st 2021, the FCA (Financial Conduct Authority) has implemented its version of the reporting.

Application of ESMA RTS 21: Regulatory Technical Standards on methodology for the calculation and the application of position limits for commodity derivatives traded on trading venues and economically equivalent OTC contract (Directive 2014/65/EU).

Application of The Securities Financing Transactions Regulation No 648/2012 (SFTR) published in the official journal on November 25th 2015. Since the United Kingdom has left the European Union on the January 1st 2021, the FCA (Financial Conduct Authority) has implemented its version of the reporting.

Application of the “FINMA Circular 2018/2 Duty to report securities transactions”, which explain the duty to report under Article 39 FMIA and Article 37 of the Financial Market Infrastructure Ordinance (FMIO; SR 958.11), Article 51 para. 1 FinIA and Article 68 of the Financial Institutions Ordinance (FinIO; SR 954.11) as well as Articles 2-5 of the FINMA Financial Market Infrastructure Ordinance (FMIO-FINMA; SR 958.111).

Application of Art. 104 of the Swiss Financial Market Infrastructure Act (FMIA) regarding reporting obligation of derivative transaction (OTC & ETD) to an approved trade repository.

Application of FINMA “Circular 2008/4 Securities Journals”, which governs the requirements to keep records and maintain a journal.

Application of the Commodity Exchange Act (amended by Dodd-Franck in July 2010). It applies to firm trading US derivatives. There is a reporting for CFTC (Commodities and Futures Commission) and one for the exchange where the Derivatives where traded: CME, CBOT, NYMEX…

Application of the “Securities and Futures Act (Reporting of Derivatives Contracts) Regulation” of the Monetary Authority of Singapore.