Procedure

The trading surveillance department Surveillance & Enforcement is responsible for initiating procedures in the event of violations of regulatory provisions.

In the case of violations of the Rule Books, directives and/or guidelines of SIX Swiss Exchange Ltd, SIX Corporate Bonds AG and SIX Repo AG the Sanctions Commission is the judicial body that imposes sanctions on participants, while the Surveillance & Enforcement department is responsible for sanctions against traders.

The procedure for investigating and sanctioning participants and traders is regulated in the Rules of Procedure of SIX Exchange Regulation.