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 and directives of SIX Swiss Exchange Ltd, SIX Structured Products Exchange Ltd and/or SIX Corporate Bonds 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.