Regular reporting obligations: Reporting obligations regarding the maintenance of listing

The purpose of the regular reporting obligations is to ensure that SIX Swiss Exchange, SIX Exchange Regulation and market participants are provided with access to specific technical and administrative information on listed securities and their issuer as well as on securities admitted to trading in a timely and appropriate manner. This shall in particular ensure orderly and smooth securities trading.

Legal basis

Compliance with stock exchange law reporting obligations, the so called regular reporting obligations, is a basic prerequisite for maintaining a listing on SIX Swiss Exchange (see Art. 49 - 56 of the Listing Rules and the Directive on Regular Reporting Obligations for Issuers of Equity Securities (Shares), Bonds, Conversion Rights, Derivatives and Collective Investment Schemes [DRRO]) or for maintaining admission to trading (see the Rules for the Admission of Equity Securities to Trading in the SIX Swiss Exchange - Sponsored Segment [RSS] and the Rules for the Admission of Investment Funds to Trading in the SIX Swiss Exchange-Sponsored Investment Funds Segment [RSIF]).

Categorisation of regular reporting obligations under the DRRO

The regular reporting obligations listed in Art. 9 - 14 DRRO are described in more detail in Annexes 1 - 6 of the DRRO. The regular reporting obligations vary depending on whether the listed securities are:

  • equity securities with their primary or main listing on the Exchange (Annex 1), 
  • debt securities such as bonds and/or conversion rights (Annexes 2 and 3), 
  • collective investment schemes based on contract or company law (Annexes 4 and 5) or 
  • secondary-listed securities (Annex 6).

Form of transmission under the DRRO

Depending on the type of listed security, the submission of the information to be reported to SIX Exchange Regulation has to be as follows: 

Monitoring

SIX Exchange Regulation is responsible for enforcing the regular reporting obligations. Non-compliance with regular reporting obligations may lead to the imposition of a penalty (Art. 59 et seq. of the Listing Rules).

Regulations

Entry into force date: Other Rules RSIF

Rules Sponsored Investment Funds Segment

Rules for the Admission of Investment Funds to Trading in the SIX Swiss Exchange-Sponsored Investment Funds Segment

Entry into force date: Directives DRRO

Directive Regular Reporting Obligations

Directive on Regular Reporting Obligations for Issuers of Equity Securities, Bonds, Conversion Rights, Derivatives and Collective Investment Schemes

Publications

Manual

Connexor Reporting-Manual

Connexor Reporting-Manual (Release No. 3.0) for Reporting Obligations pursuant to Art. 9 of the Directive Regular Reporting Obligations as well as Annex 1

Manual

Information about the handling of Connexor Reporting

Information on Connexor Reporting for issuers with primary-listed equities on the SIX Swiss Exchange AG

Manual

Using the one-time password token SafeWord® Platinum for CONNEXOR Reporting

Instructions to Change of PIN upon first use of the token, Generation of one-time password and One-time password token blocked upon multiple entry of an incorrect PIN