Which statements describe the reporting obligations for transactions?

Which statements describe the reporting obligations for transactions?

• A. Transactions in securities admitted to a Swiss stock exchange for trading
• B. Transmissions of orders which ultimately result in such transactions
• C. Both of the above
• D. Only transactions abroad

Answer: (C)

Reporting obligations require capturing both the actual transactions in securities admitted to trading on a Swiss stock exchange and the transmissions of orders that ultimately result in such transactions. Regulators need the full picture of market activity to monitor price formation, execution quality, and potential market abuse, so they collect data on both how trades occur and how orders are routed to those trades. That’s why the correct choice is that both statements describe reporting obligations. Transactions abroad aren’t the focus here unless a separate rule applies.

Reporting obligations require capturing both the actual transactions in securities admitted to trading on a Swiss stock exchange and the transmissions of orders that ultimately result in such transactions. Regulators need the full picture of market activity to monitor price formation, execution quality, and potential market abuse, so they collect data on both how trades occur and how orders are routed to those trades. That’s why the correct choice is that both statements describe reporting obligations. Transactions abroad aren’t the focus here unless a separate rule applies.