Document ID: /roh_data/filtered/swiss_laws_in_ROHinterleaved.jsonl.gz/38219

This text was translated from EN into Rumantsch Grischun.

The securities firm must report all of the information necessary for transparent securities trading. FINMA shall regulate which information is to be reported to whom and in what form. Provided this is required for the purposes of the Act, the Federal Council may also impose the reporting duty in accordance with paragraph 1 on persons and companies that buy and sell securities on a commercial basis but without the involvement of a securities firm. Any such company must instruct an audit firm licensed by the Federal Audit Oversight Authority (FAOA) in accordance with Article 9a paragraph 1 of the Auditor Oversight Act of 16 December 2005 (AOA) to audit compliance with this reporting duty and must inform FINMA. SR 221.302

La chasa da vaglias sto far las annunzias ch’èn necessarias per la transparenza dal commerzi cun valurs mobigliaras. La FINMA regla, tge infurmaziuns che ston vegnir dadas a tgi en tge furma. Sche l’intent da la lescha qua avant maun pretenda quai, po il Cussegl federal suttametter a l’obligaziun d’annunzia tenor l’alinea 1 er persunas e societads che cumpran e vendan valurs mobigliaras a titel professiunal, ma senza l’agid d’ina chasa da vaglias. Las societads ston laschar controllar d’ina societad d’audit ch’è admessa da l’Autoritad federala da surveglianza en chaussas da revisiun (ASR) tenor l’artitgel 9a alinea 1 da la Lescha dals 16 da december 2005 davart la surveglianza da la revisiun (LSR), che questa obligaziun d’annunzia vegnia observada, ed èn obligadas da dar las infurmaziuns necessarias a la FINMA. SR 221.302