Decisions that have become legally enforceable are published on the SIX Exchange Regulation website in anonymized form. Furthermore the Sanctions Commission may decide to publish the sanction decisions against participants by name.
Trading surveillance department Surveillance & Enforcement
As an independent body within SIX, the trading surveillance department Surveillance & Enforcement monitors trading on SIX Swiss Exchange and SIX Repo.
The independent trading surveillance department Surveillance & Enforcement (SVE) monitors trading on SIX Swiss Exchange and SIX Repo pursuant to Art. 27 and Art. 32 of the Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading (Financial Market Infrastructure Act, FMIA) and Art. 32 of the Financial Market Infrastructure Ordinance (FMIO) with regard to compliance with the relevant statutory and regulatory provisions.
In the event of violations of the regulatory provisions, SVE may impose sanction measures on traders in the context of self-regulation and/or apply to the Sanctions Commission to impose sanctions on participants. Where there is a substantiated suspicion of violations of the law or other irregularities, the results of the investigations will be forwarded to FINMA as the supervisory authority. Investigative reports of situations liable to result in criminal proceedings will also be forwarded to the relevant criminal prosecution authorities.
Trading Regulations SIX Swiss Exchange Ltd
Trading Regulations SIX REPO AG
Federal Decrees and FINMA Circulars
Financial Market Infrastructure Act
Federal Act on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading (Financial Market Infrastructure Act, FMIA)
Financial Market Infrastructure Ordinance
Ordinance on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading (Financial Market Infrastructure Ordinance, FMIO)
FINMA Financial Market Infrastructure Ordinance
Ordinance of the Swiss Financial Market Supervisory Authority on Financial Market Infrastructures and Market Conduct in Securities and Derivatives Trading (FINMA Financial Market Infrastructure Ordinance, FMIO-FINMA)
Börsengesetz, German
Bundesgesetz vom 24. März 1995 über die Börsen und den Effektenhandel (Börsengesetz, BEHG)
Börsenverordnung, German
Verordnung vom 2. Dezember 1996 über die Börsen und den Effektenhandel (Börsenverordnung, BEHV)
FINMA Circular 2018/2 - Duty to report securities transactions
Duty to report securities transactions
FINMA Circular 2013/8 - Market conduct rules
Supervisory rules for market conduct in securities trading