Supervision of DLT trading facilities

Institutions with a licence as a DTL trading facility are subject to supervision by FINMA. Supervision is carried out based on the respective principles and risks.

The legal basis for the supervision of DLT trading facilities can be found in the Financial Market Infrastructure Act (FinMIA), the Financial Market Infrastructure Ordinance (FinMIO) and in the FINMA Financial Market Infrastructure Ordinance (FinMIO-FINMA).

Disclosure requirements

Any change to the basis on which the licence was granted must be reported to FINMA. If the changes are of material significance, prior authorisation must be obtained from FINMA in order to continue the activity.