SIX Group Ltd Rules of Organisation for the Regulatory Bodies of the Group's exchanges
(Regulatory Bodies Organisation Rules, RBOR)

Table of contents

• 1 General
• 1.1 Content of the Rules of Organisation
• 1.2 The individual Regulatory Bodies
• 1.3 Independence
• 1.4 Resources
• 1.5 Budget
• 1.6 Revenues
• 2 The Regulatory Board
• 2.1 Structure of the Regulatory Board
• 2.2 Right of FINMA to be consulted
• 2.3 Removal from office
• 2.4 Remit of the Regulatory Board
• 2.5 Right to information
• 2.6 Committees
• 2.7 Issuers Committee
• 2.8 Tasks
• 2.9 Participants & Surveillance Committee
• 2.10 Tasks
• 3 The Chairman of the Regulatory Board
• 4 The Office of the Regulatory Board
• 5 The Sanction Commission
• 5.1 Structure of the Sanction Commission
• 5.2 Remit of the Sanction Commission
• 6 The independent Appeals Board
• 7 The Board of Arbitration
• 8 SIX Exchange Regulation
• 8.1 Remit
• 8.2 Appointment and composition of the MC
• 8.3 Tasks of the MC
• 9 Cooperation between SIX Exchange Regulation and the supervised exchanges
• 9.1 Right to participate
• 9.2 Duty to provide information
• 9.3 Right to information
• 9.4 Signatory authorities for the supervised exchanges
• 9.5 Decision of the Chairman of SIX Group Ltd
• 10 Reporting by SIX Exchange Regulation
• 10.1 Reporting to the BoD of SIX Group Ltd
• 10.2 Reporting to the Chairman of SIX Group Ltd
• 10.3 Reporting to the Regulatory Board
• 10.4 Extraordinary incidents
• 10.5 Information to the supervisory authority
• 11 Audit under the Stock Exchange Legislation
• 12 Signatory rights
• 12.1 Regulatory Board
• 12.2 Sanction Commission
• 12.3 Appeals Board
• 12.4 SIX Exchange Regulation
• 13 Final provisions
• 13.1 Entry into force
• 13.2 Cancellation of the Surveillance & Enforcement rules
• 13.3 Disclosure Office Rules
• 13.4 Schedule of powers of SIX Group Ltd and its group companies
• 13.5 Amendment