Corporate Governance

SIX Exchange Regulation and the Sanction Commission may impose sanctions against issuers and auditing bodies for violations of the Listing Rules and in particular in the event of non-compliance with the reporting requirement pursuant to Arts. 52 ff Listing Rules.

The Sanction Commission publishes sanction decisions that have acquired legal force after 1 January 2007.

SIX Exchange Regulation publishes sanction notices that have acquired legal force after 1 January 2007. The sanction notice will generally be made available in full in anonymised form.

Before 1 January 2007, sanctions have been imposed by the Disciplinary Commission or the Executive Committee of the Admission Board. The following list shows the name of the sanctioned company, the publication date of the media release and the judical body that imposed the sanction. Media releases older than three years will not be listed anymore.

Date	Sanctions in connection with Corporate Governance	Body	Download
26.07.2010	Vontobel Holding AG	SC
27.08.2007	UMS Schweizerische Metallwerke Holding AG	DC

Legend:
SC = Sanction Commission
SER = SIX Exchange Regulation
AB = Committee of the Admission Board
DC = Disciplinary Commission (replaced by Sanction Commission)
AD = Admission Division (replaced by SIX Exchange Regulation)