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Sanction Decisions


Sanction notice of Surveillance & Enforcement in its function as sanctioning body


Calendar year
Trader
Reprimand Suspension Revocation
20111--
20101--
2009---
200811-
2007---
2006---
200521-
20041--
20037--
20026--

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.

2011

Decision ofDescriptionSanctionDownload
04.08.2011 Market manipulation Reprimand

2010

Decision ofDescriptionSanctionDownload
13.10.2010 Market manipulation Reprimand

2008

Decision ofDescriptionSanctionDownload
03.11.2008 Year-end price manipulation Suspension
24.04.2008 Year-end price manipulation Reprimand

2005

Decision ofDescriptionSanctionDownload
08.11.2005 Unfair trading practices Reprimand,
Suspension
06.05.2005 Year-end price manipulation Reprimand

2004

Decision ofDescriptionSanctionDownload
31.03.2004 Year-end price manipulation Reprimand

2003

Decision ofDescriptionSanctionDownload
07.05.2003 Nostro-nostro cross trades Reprimand
( from 6 different participant firms )
25.04.2003 Snake-trading Reprimand

2002

Decision ofDescriptionSanctionDownload
15.07.2002 Nostro-nostro cross trades Reprimand
( from 4 different participant firms )