{"id":1293,"date":"2023-05-03T14:29:51","date_gmt":"2023-05-03T13:29:51","guid":{"rendered":"https:\/\/fintex.ch\/wp1\/?page_id=1293"},"modified":"2024-12-12T22:29:22","modified_gmt":"2024-12-12T21:29:22","slug":"supported-regulation","status":"publish","type":"page","link":"https:\/\/fintex.ch\/wp1\/news\/supported-regulation\/","title":{"rendered":"Supported Regulations"},"content":{"rendered":"\n<h2 class=\"wp-block-heading\">Supported Regulations<\/h2>\n\n\n<div id=\"ub_divider_a1067016-8912-4376-8fac-d14379d8f75a\" class=\"wp-block-ub-divider ub-divider-orientation-horizontal\"><hr class=\"ub_divider\" ><\/hr><\/div>\n\n<div class=\"wp-block-ub-content-toggle\" id=\"ub-content-toggle-1fb62113-405f-4686-b17f-af9980a3aaa7\" data-mobilecollapse=\"true\" data-desktopcollapse=\"true\">\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-6a0b2db1-e82d-4da7-9a8b-e3c741c26bfb\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-0-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">EMIR &#8211; European Market Infrastructure Regulation (EU &amp; UK)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-0-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>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.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-a9b69a10-8396-4d56-baf6-ec264001dbf0\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-1-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">MiFIR Transaction Report (EU &amp; UK)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-1-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>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.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-cae970a8-3431-4bae-946f-ffbbbb7a5ac1\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-2-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">MiFIR Trade Reporting (Post Trade Transparency)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-2-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>Application of ESMA RTS 1 &amp; 2 : Regulatory Technical Standards on reporting obligations under Article 20&amp;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.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-f391612d-279f-4d06-823f-da9e9b3f1698\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-3-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">MiFIR RTS 21 (ICE)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-3-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>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).<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-b41f058b-031a-42f6-b7df-d31fb13f2617\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-4-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">SFTR : Securities Financing Transactions Regulation (EU &amp; UK)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-4-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>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.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-2fcb7c9a-062b-48fc-9f8a-48d0d2592aa9\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-5-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">Swiss Transaction Reporting<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-5-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>Application of the \u201cFINMA Circular 2018\/2 Duty to report securities transactions\u201d, which explains 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).<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-422d89cf-6db5-4e78-985c-f739056b1c66\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-6-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">Swiss Derivative Regulation: FMIA (FinfraG \/ LIMF)<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-6-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>Application of Art. 104 of the Swiss Financial Market Infrastructure Act (FMIA) regarding reporting obligation of derivative transaction (OTC &amp; ETD) to an approved trade repository.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-abbaff4b-5671-49c4-ae49-b59289a49508\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-7-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">FINMA Securities Journal<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-7-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>Application of FINMA \u201cCircular 2008\/4 Securities Journals\u201d, which governs the requirements to keep records and maintain a journal.<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-2e222ed2-db06-46dd-b303-2669541077bb\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-8-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">CFTC Large Trader Reporting program<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-8-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>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\u2026<\/p>\n\n<\/div><\/div>\n\n<div class=\"wp-block-ub-content-toggle-accordion\" id=\"ub-content-toggle-panel-block-33281a2f-83b1-4462-a995-c169f0905ca9\">\n                <div class=\"wp-block-ub-content-toggle-accordion-title-wrap\"\" aria-controls=\"ub-content-toggle-panel-9-1fb62113-405f-4686-b17f-af9980a3aaa7\" tabindex=\"0\">\n                    <p class=\"wp-block-ub-content-toggle-accordion-title ub-content-toggle-title-1fb62113-405f-4686-b17f-af9980a3aaa7\">MAS reporting<\/p><div class=\"wp-block-ub-content-toggle-accordion-toggle-wrap left\"><span class=\"wp-block-ub-content-toggle-accordion-state-indicator wp-block-ub-chevron-down\"><\/span>\n                    <\/div><\/div><div role=\"region\" aria-expanded=\"false\" class=\"wp-block-ub-content-toggle-accordion-content-wrap ub-hide\" id=\"ub-content-toggle-panel-9-1fb62113-405f-4686-b17f-af9980a3aaa7\">\n\n<p>Application of the \u201cSecurities and Futures Act (Reporting of Derivatives Contracts) Regulation\u201d of the Monetary Authority of Singapore.<\/p>\n\n<\/div><\/div>\n<\/div>","protected":false},"excerpt":{"rendered":"<p>Supported Regulations<\/p>\n","protected":false},"author":5,"featured_media":0,"parent":1337,"menu_order":2,"comment_status":"closed","ping_status":"closed","template":"side-navigation.php","meta":{"ub_ctt_via":"","iawp_total_views":228,"footnotes":""},"class_list":["post-1293","page","type-page","status-publish","hentry"],"featured_image_src":null,"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.6 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FinTeX - Finance &amp; 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