Trading surveillance department Surveillance & Enforcement

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.