3.5 Sanction notice
1 Surveillance & Enforcement may issue a sanction notice against a trader employed by a participant if the sanction takes the form of a reprimand, a suspension or exclusion from trading.
2 Listing & Enforcement may issue a sanction notice for a violation of the rules as defined in Point 1.1 para. 1 lit. b if possible sanctions include a warning, reprimand or fine.
3 The sanction notice includes:
- a presentation of the facts of the case;
- the statement of the rules that have been violated;
- a brief description of grounds;
- the sanction;
- an indication that the notice will be published;
- the costs;
- the means of legal redress;