Compliant trading is a key factor in safeguarding the reputation of the Swiss Stock Exchange and the image as a financial centre. We surveil the Swiss Stock Exchange to ensure that any insider trading, price and market manipulation and other irregular activities and regulatory breaches are detected.
Market Surveillance AND INVESTIGATIONS
We use innovative and first in class surveillance technologies to detect trading irregularities. Any indications of possible breaches are subject to in-depth analysis of the situation and further investigation, as needed. Our surveillance analysts also systematically investigate suspicions reported by third parties.
AUDIT OF PARTICIPANTS
Participants directly connected to the Swiss Stock Exchange are required to submit an audit report. The audit relates to selected provisions of the rules and regulations, which stipulate that on-site monitoring must be performed. The participant audit may be conducted by external auditors or, under certain conditions, by the company’s internal audit department.
Publications SIX Swiss Exchange
Registration Form: Responsible Compliance Officer / External Auditors
Registration Form for Responsible Compliance Officer / External Auditors of SIX Swiss Exchange Ltd participant
Guidelines: Audit of participants
Guidelines for the audit of participants SIX Exchange Regulation Ltd
Overview examination points
Audit of participants of SIX Exchange Regulation Ltd
Further publications
Publications SIX Digital Exchange
Registration Form: Responsible Compliance Officer / External Auditors
Registration Form for Responsible Compliance Officer / External Auditors of SDX Trading Ltd participant
Guidelines: Audit of participants
Guidelines for the audit of participants SIX Exchange Regulation Ltd
Overview examination points
Audit of participants of SIX Exchange Regulation Ltd
Further publications
SANCTIONS AND PROVISION OF INFORMATION TO AUTHORITIES
In the event of rule breaches, we initiate sanctions proceedings as determined by our judicial bodies. FINMA is informed of any regulatory breaches and suspected irregular activity. If we assume that criminal offences may have been committed, we also notify the relevant law enforcement authorities.