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Boerse_Berlin_Equiduct

Monitoring 31Transaction Reporting As a rule all transactions in financial instruments which are admitted to trading on a Regulated Market have to be reported by the trading participant to the competent authority in the home member state of the trading participant. This means that e. g. a UK trading participant admitted for trading on the Berlin Stock Exchange has to report all his trades to the British Financial Services Authority (FSA), a French trading participant to the Autorité des Marchés Financiers (AMF) and so on. Trading participants have to make sure that they use the correct MIC-Codes (see page 16) in their reports. Not covered by this rule are all financial instruments which are not admitted to any Regulated Market within the European Union. E. g. Switzerland is not a member state of the EU, thus Swiss financial instruments are not regarded as admitted to any Regulated Market. Therefore transactions in Swiss securities need to be reported to BaFin by the trading participant irrespective of his home member state. Börse Berlin AG is offering the service to report these transactions to BaFin on behalf of the trading participant. Trading participants may also use other service providers. ClearingMonitoring

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