The SIX Exchange Regulation division carries out the tasks prescribed under federal law and the
rules and regulations issued by the Regulatory Board, and monitors compliance
with these various regulations. Where permitted to do so under the rules, it determines
sanctions, or it submits sanction proposals. The Chairman of the Board of Directors
of SIX Group Ltd, the supervisory authorities and, where appropriate, the competent public
prosecuting authorities are informed where violations of the law or other wrongdoing are suspected.
The SIX Exchange Regulation division is structured into the following departments: Listing &
Enforcement, which is responsible for issuer regulation, and
Surveillance & Enforcement, which oversees trading.
