Enforcement

In the event of violations of the regulatory provisions of SIX Swiss Exchange Ltd, SIX Structured Products Exchange Ltd and/or SIX Corporate Bonds AG, the trading surveillance department Surveillance & Enforcement may impose sanction measures on traders and/or apply to the Sanctions Commission to impose sanctions on participants.

In the context of self-regulation, the trading surveillance department Surveillance & Enforcement may, in the event of violations of the Rule Books and/or directives from SIX Swiss Exchange Ltd, SIX Structured Products Exchange Ltd and/or SIX Corporate Bonds AG, impose sanction measures against traders 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.