3.1 General principles
1 The investigative bodies must consider exculpatory and inculpatory aspects with equal care.
2 Evidence is deemed to be all objects and information that serve to determine the facts of the case. All such objects and information are subject to free evaluation.
3 The investigative bodies may appoint experts. The Parties Concerned will be granted the opportunity to state their position on the person appointed as the expert, the issuance of the corresponding mandate and the content of the latter. As a general rule, expert opinions are presented in written form.
4 The investigative bodies may interrogate the Parties Concerned and third parties.
5 The interrogation may be recorded on an audio or video storage medium. The investigative bodies must advise the Parties Concerned in advance that a recording will be made. If, by way of exception, no audio or video recording is made of the interview, a detailed written record must be made.
6 The objects and information serving as evidence in the sanction proceedings will be made available for inspection by the Parties Concerned at SIX Exchange Regulation. At the request of the Parties Concerned and at their own cost, SIX Exchange Regulation may provide them with copies of original documents and audio or video recordings.
7 Documents that include data relating to third parties must be made anonymous prior to dispatch.
8 Evidence that has not been made available to the Parties Concerned may not be taken into account in the sanction proceedings.