Sanction Decisions

Most recent Sanction Decisions	Surveillance & Enforcement	Sanction Commission

Sanction Decisions of the Sanction Commission

Calendar year	Participant
	Reprimand	Suspension	Expulsion	Fine
2010	2	-	-	-
2009	3	-	-	2
2008	3	-	-	2
2007	5	-	-	1
2006	2	-	-	-
2005	2	-	-	-
2004	-	-	-	-
2003	-	-	-	-
2002	-	-	-	-

In principle, only those decisions pertaining to new regulatory issues are published. The repeated publication of essentially similar matters is at the discretion of SIX Exchange Regulation.

2010

Decision of	Description	Sanction	Body	Download
19.04.2010	Responsibility of the participant for the order-routing System	Reprimand	SC
08.03.2010	Violation of duty to register for utilisation of the Exchange System	Reprimand	SC

2009

Decision of	Description	Sanction	Body	Download
03.07.2009	Violation of duty to register for utilisation of the Exchange System	Fine	SC
13.03.2009	Prohibited agent-agent crosses	Reprimand	SC
06.02.2009	Violation of Rules concerning the reporting obligation	Reprimand	SC
06.02.2009	Waiving of sanction		SC
06.02.2009	Violation of Rules concerning pre-arranged trades	Reprimand	SC
06.02.2009	Violation of Rules concerning the duty to trade on the exchange	Fine	SC

2008

Decision of	Description	Sanction	Body	Download
30.12.2008	Violation of Rules concerning reporting of off order book transactions	Fine	SC
23.05.2008	Responsibility of the participant for the order-routing System	Reprimand	SC
23.05.2008	Not keeping a log-book	Reprimand	SC
31.01.2008	Violation of duty to register for utilisation of the Exchange System (I)	Fine	SC
31.01.2008	Violation of duty to register for utilisation of the Exchange System (II)	Reprimand	SC

2007

Decision of	Description	Sanction	Body	Download
04.01.2008	Incorrect report of the agreed time	Reprimand	SC
20.09.2007	Violation of duty to register for utilisation of the Exchange System	Reprimand	SC
19.09.2007	Violation of duty to register for utilisation of the Exchange System	Fine	SC
09.02.2007	Violation of the duty to trade on order book	Reprimand	SC

2006

Decision of	Description	Sanction	Body	Download
17.11.2006	Violation of duty to register for utilisation of the Exchange System	Reprimand	DC
30.01.2006	Violation of duty to register for utilisation of the Exchange System	Reprimand	DC

2005

Decision of	Description	Sanction	Body	Download
30.09.2005	Violation of duty to register for utilisation of the Exchange System	Reprimand	DC
13.07.2005	Violation of duty to register for utilisation of the Exchange System	Reprimand	DC

2003

Decision of	Description	Sanction	Body	Download
27.10.2003	Nostro-nostro inhouse crosses	-	DC

2002

Decision of	Description	Sanction	Body	Download
04.10.2002	Nostro-nostro inhouse crosses (I)	-	DC
04.10.2002	Nostro-nostro inhouse crosses (II)	-	DC

Legend:
SC = Sanction Commission
SER = SIX Exchange Regulation
DC = Disciplinary Commission (replaced by Sanction Commission)