II. Audit Report 2010
The audit report for the calendar year 2010 must be submitted to SIX Exchange Regulation, Enforcement & Compliance, by 31 March 2011 at the latest.
All of the documents relevant to the participant audit can be found online at http://www.six-exchange-regulation.com/obligations/participants/audit_en.html.
SIX Exchange Regulation
SIX Exchange Regulation executes the duties laid down in federal law and the rules issued by the Regulatory Board, as well as monitoring compliance with them. It imposes sanctions where regulations allow or submits sanction requests to the SIX Swiss Exchange Sanction Commission.
SIX Exchange Regulation reports directly to the Chairman of the SIX Group Board of Directors, thus ensuring its independence from SIX Swiss Exchange’s business operations. It is split into two departments: Listing & Enforcement is responsible for the rules governing issuers, while Surveillance & Enforcement oversees trading.
The SIX Exchange Regulation Communiqués are published in English, German and French on the internet at: