SER initiates investigation against Alcon Inc.

On 27 January 2023, SIX Exchange Regulation AG (SER) initiated an investigation against Alcon Inc. due to a potential violation of the rules on ad hoc publicity.

Menu Schliessen

A preliminary inquiry revealed that there are sufficient indications of a violation of regulations. For this reason, SER initiated an investigation against Alcon Inc. on 27 January 2023. The potential violation relates to the rules on ad hoc publicity and is linked to the disclosure of price sensitive facts.

As part of the investigation, SER is examining whether there has been an actual violation of the regulations.

No further details will be communicated with regard to the ongoing proceedings. SER will provide information about the final outcome of the proceedings.

If you have any questions, please contact
Hrvoje Tkalcec, Head Communications & Media Relations.
Phone: +41 58 399 2267
Email: ser_media@six-group.com

SIX Exchange Regulation AG is a legally independent company of SIX Group and of one the Regulatory bodies of the SIX trading venues. It performs the functions assigned under Swiss federal law and enforces the rules laid down by the Regulatory Board, and monitors compliance with legal and regulatory requirements. As part of its diverse remit, SIX Exchange Regulation AG submits proposals for sanctions to the Sanctions Commission or can enact sanction notices. SIX Exchange Regulation AG consists of the divisions Listing & Enforcement, responsible for regulating issuers, and Surveillance & Enforcement, which monitors trading.
www.ser-ag.com

SIX provides and operates stable and efficient infrastructure for the Swiss and Spanish financial centers, thus ensuring access to the capital markets and the flow of information and money between financial market players. As a global provider of financial information, SIX delivers high-quality reference, pricing, corporate actions, and ESG data and provides regulatory services and indices to clients around the world. The company is owned by its users (more than 120 banks) with a workforce of 4,160 employees and a presence in 19 countries.
www.six-group.com

Media Release

SER initiates investigation against Alcon Inc.

On 27 January 2023, SIX Exchange Regulation AG (SER) initiated an investigation against Alcon Inc. due to a potential violation of the rules on ad hoc publicity.