Audit of participants

Participants are required to submit an annual audit report to SIX Exchange Regulation, Surveillance & Enforcement Department, relating to compliance with provisions laid down in the SIX rules and regulations.

As part of its monitoring duties, the trading surveillance department Surveillance & Enforcement checks whether the regulatory provisions of SIX Swiss Exchange Ltd and SIX Structured Products Exchange Ltd have been complied with. Surveillance & Enforcement generally does this using data in the Exchange systems. To ensure qualified monitoring, it is also necessary, however, to rely on data in systems that Surveillance & Enforcement cannot check and whose accuracy cannot be verified. This collection and review process must be carried out by the participant's external auditors or internal audit department.

Pursuant to Section 17 of the SIX Swiss Exchange Ltd Rule Book and Section 16 of the SIX Structured Products Exchange Ltd Rule Book participants are required to submit an annual audit report from their external auditors to Surveillance & Enforcement. This report must cover compliance with selected provisions laid down by the rules and regulations of SIX Swiss Exchange Ltd and/or SIX Structured Products Exchange Ltd.

Participants who wish to commission the internal audit department to conduct the audit must submit a written request to Surveillance & Enforcement by 30 September of the respective year, including the required documents (for further information, please send an email to sveenc@six-group.com).

The requirements that must be met when conducting audit work, as well as further explanations, can be found in the "Guidelines: Audit of participants".

The audit report for the 2015 calendar year must be submitted to Surveillance & Enforcement Compliance by 31 March 2016.

Address
SIX Exchange Regulation
Enforcement & Compliance
Selnaustrasse 30
Postfach
CH-8021 Zürich 

Publications

Manual

Examination points

Audit of participants of SIX Swiss Exchange Ltd / SIX Structured Products Exchange Ltd

Commentary / Guideline

Guidelines: Audit of participants

Guidelines for the audit of participants SIX Swiss Exchange Ltd and SIX Structured Products Exchange Ltd

Form / Template

Registration Form: Responsible Compliance Officer / External Auditors

Registration Form for Responsible Compliance Officer / External Auditors of SIX Swiss Exchange Ltd / SIX Structured Products Exchange Ltd participant