SIX Exchange Regulation Ltd
An autonomous and independent body within SIX, SIX Exchange Regulation Ltd regulates and monitors participants and issuers of the trading venues of SIX (SIX Swiss Exchange Ltd, SIX Corporate Bonds Ltd and SIX Repo Ltd). One of its many tasks is the listing of securities on SIX exchanges.
SIX Exchange Regulation Ltd executes the tasks assigned to it under federal law and under the rules issued by the Regulatory Board. It also monitors compliance with both the law and the rules. Where the rules grant it such authority, it imposes sanctions and makes sanction proposals.
The Chairman of the Board of Directors of SIX Group Ltd, the supervisory authority and, where appropriate, the competent public prosecutors are informed where violations of the law or other irregularities are suspected.
SIX Exchange Regulation Ltd is split into two departments: Listing & Enforcement is responsible for the rules governing issuers, while Surveillance & Enforcement oversees trading.