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According to Section 1.14 paragraphs 4 and 5 and Section 1.11 paragraphs 4 and 5 of the relevant
General Conditions, participants of SIX Swiss Exchange and Scoach Switzerland Ltd are obliged to submit an annual audit
report from their external auditors to SIX Exchange Regulation, Enforcement & Compliance department. This
report must cover compliance with selected provisions laid down by the rules and regulations of SIX Swiss Exchange
and/or Scoach Switzerland Ltd.
The requirements that must be met when conducting audit work, as well as further explanations, can be
found in the
"Audit of Participants".
There are two different audit programmes - one for even and one for uneven calendar years. The audit
programme which applies in any given calendar year will be published on the Internet by 30 June of
that year.
The audit report for the 2009 calendar year must be submitted to the SIX Swiss Exchange no later than 31 March 2010.
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Address
| SIX Swiss Exchange Ltd
SIX Exchange Regulation
Enforcement & Compliance
Selnaustrasse 30
P.O. Box
CH-8021
Zurich
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Documentation on participant audit 2009
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Description
| Download | |
Guidelines: Audit of SIX Swiss Exchange Ltd / Scoach Switzerland Ltd participants
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Sample of report
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Audit programme for the 2009 calendar year
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Full overview of the examination points in even and uneven calendar years
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FAQ Guidelines
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Other documents relating to participant audits
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Description
| Download | | Trade Type Code Overview
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Registration form: Responsible compliance officer / auditors of participant
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