Decisions regarding Corporate Governance

The Sanction Commission has published its decisions in anonymised form since 1 January 2007.

SIX Exchange Regulation publishes sanction decisions against issuers and auditing bodies that have been pronounced since 1 January 2007 and have acquired legal force. Whenever possible, the full text of the decision is published.

Prior to 1 January 2007 sanctions were pronounced by the Disciplinary Commission or the Committee of the Admission Board.

Decisions are published only in the original languages (German, French or English). Translations are not provided.

Decision of	Description	Proposition of quotation	Body	Download
18.06.2007	Verstoss gegen Ziffer 3.5.2, 3.5.3, 5.9 und 8.4 des Anhangs zur RLCG	DK/CG/III/06	DC
23.11.2006	Violation du ch. 3.1a, 4.1, 5.2, 5.5 et 8.4 de l'Annexe de la DCG et du ch. 6 DCG	ZUL/CG/II/06	AB
23.11.2006	Verstoss gegen Ziff. 3.5.2, Ziff. 3.6 und Rz. 6, Ziff. 5.1, Ziff. 5.5, Ziff. 8.4 Anhang RLCG	ZUL/CG/I/06	AB
26.04.2006	Verstoss gegen Ziff. 3.5.2, Ziff. 3.5.3, Ziff. 3.6, Ziff. 3.7, Ziff. 5.1, Ziff. 6.4, Ziff. 6.5, Ziff. 8.4 und Kapitel 9 Anhang RLCG	DK/CG/I/06	DC
10.04.2006	Violation du ch. 7.2. Annexe, des ch. m. 5 et 7 de la DCG et de l'art. 4 al. 1 RC	ZUL/CG/VI/05	AB
29.11.2005	Verstoss gegen Kapitel 3, Kapitel 4, Ziff. 5.1, Ziff. 8.1.2 und Ziff. 8.4 Anhang RLCG sowie Art. 4 Abs. 1 KR	ZUL/CG/V/05	AB
29.11.2005	Verstoss gegen Ziff. 5.5 sowie Ziff. 8.4 Anhang RLCG	ZUL/CG/IV/05	AB
14.11.2005	Violation des devoirs selon l'article 64 du Règlement de cotation (rapport de gestion annuel) en relation avec le ch. 5.9. de la directive sur la corporate governance (DCG)	DK/CG/I/05	DC
30.09.2004	Verstoss gegen Ziff. 5.9 sowie Ziff. 4.1 Anhang RLCG	DK/CG/I/04	DC

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