Source: https://www.six-exchange-regulation.com/en/home/publications/explorer/aids.html
Timestamp: 2020-01-25 10:52:14
Document Index: 540241158

Matched Legal Cases: ['Art. 4', 'Art. 9', 'Art. 56', 'Art. 56', 'Art. 3', 'Art. 3']

Reports and Tools – SIX Exchange Regulation
Reports and Tools you may require in connection with the application of the regulations.
Here you can filter tools according to various criteria. You can use filters individually or in combination.
Communiqués from SIX regulatory bodies
Sanction decisions/Sanction notices
Regulatory Board Communiqué SIX Exchange Regulation Communiqué Media Release Disclosure Office Notice Published Notification Official Notice Notice / Delisting Decision
Form / Template
Commentary / Guideline
Current Consultation Comment SIX Exchange Regulation Completed Consultation
Members of the Regulatory Board Expert Panel on Financial Reporting Members of the Appeals Board Members of the Sanctions Commission Members of the Commission of Experts on Disclosure of Shareholdings
Sanction decisions / Sanction notices
against Issuers against Participants against Traders
Listing Provisional Admission Admission to Trading Authorization of Trading Recognized Representative Reporting Member Declaration of Consent De-Listing
Regular Reporting Obligations Ad-Hoc Publicity Corporate Governance Sustainability reporting Financial Reporting Disclosure of Shareholdings Disclosure of Management Transactions Official Notices Audit of participants Market Conduct Issuer Reporting Participant / Trader Obligations
Proceedings Initiation of Investigation Agreements Sanctions Conclusion of Investigation Means of legal redress
Regulatory Board SIX Exchange Regulation Judical Bodies Advisory Bodies
04 Jul 2019 Form / Template
Formular Sponsored Foreign Shares, German
Antrag um Zulassung zum Handel von Beteiligungsrechten im SIX Swiss Exchange – Sponsored Segment
Registration Form: Responsible Compliance Officer / External Auditors
Registration Form for Responsible Compliance Officer / External Auditors of SIX Swiss Exchange Ltd participant
Declaration in accordance with Art. 4 para. 1 point 8 of the Directive on the Procedures for Exchange Traded Products (DPETP)
Formular Sponsored Anlagefonds, German
Antrag um Zulassung zum Handel von Anlagefonds im SIX Swiss Exchange – Sponsored Anlagefondssegment
Formular Sponsored Anlagefonds - Anhang 1, German
Antrag um Zulassung zum Handel von Anlagefonds im SIX Swiss Exchange-Sponsored Anlagefondssegment
Disclosure of Shareholdings - Notification of a single shareholder
Disclosure of Shareholdings - Notification of groups
Disclosure of Shareholdings - Notification of collective investment schemes
04 Jul 2019 Entry into force date: 01 Mar 2018 Form / Template
Annex 1 - Directive CONNEXOR Listing Enhancement
User account opening form for natural persons
Annex 2 Directive CONNEXOR Listing Enhancement
User account opening form for system accounts
18 Apr 2019 Annual Report
Jahresbericht 2018 der Offenlegungsstelle von SIX Exchange Regulation AG, German
In ihren Jahresberichten gibt die Offenlegungsstelle der SIX Exchange Regulation AG in kurzer Form einen Überblick über ihre wichtigsten Tätigkeiten und die Entwicklung der Praxis im Offenlegungsrecht.
18 Dec 2018 Manual
Connexor Reporting-Manual
Connexor Reporting-Manual (Release No. 3.0) for Reporting Obligations pursuant to Art. 9 of the Directive Regular Reporting Obligations as well as Annex 1
10 Aug 2018 Annual Report
Jahresbericht 2017 der Offenlegungsstelle von SIX Swiss Exchange, German
In ihren Jahresberichten gibt die Offenlegungsstelle der SIX Swiss Exchange in kurzer Form einen Überblick über ihre wichtigsten Tätigkeiten und die Entwicklung der Praxis im Offenlegungsrecht.
20 Dec 2017 Strategy Statement
SIX Tax Strategy
03 Oct 2017 Annual Report
Jahresbericht 2016 der Offenlegungsstelle von SIX Swiss Exchange, German
08 Sep 2016 Annual Report
Jahresbericht 2015 der Offenlegungsstelle von SIX Swiss Exchange, German
14 Apr 2016 Form / Template
Disclosure of management transactions - Form for the person subject to reporting obligation
This form can be used by a person who is subject to reporting obligation to report transactions to the issuer.
09 Nov 2015 Commentary / Guideline
SIX Exchange Regulation guideline on the Directive Regular Reporting Obligations (DRRO) of 9 November 2015 (Guideline on DRRO)
Explanations on the articles and annexes 1 as well as 4 to 6
29 Jul 2015 Annual Report
Jahresbericht 2014 der Offenlegungsstelle von SIX Swiss Exchange, German
07 Aug 2014 Annual Report
Jahresbericht 2013 der Offenlegungsstelle von SIX Swiss Exchange, German
11 Jul 2013 Annual Report
Jahresbericht 2012 der Offenlegungsstelle von SIX Swiss Exchange, German
In ihren Jahresberichten gibt die Offenlegungsstelle der SIX Swiss Exchange in kurzer Form einen Überblick über ihre wichtigsten Tätigkeiten und die Entwicklung der Praxis im Offenlegungsrecht. Die Jahresberichte liegen ausschliesslich in Deutsch vor.
15 May 2012 Annual Report
Jahresbericht 2011 der Offenlegungsstelle von SIX Swiss Exchange, German
01 Nov 2011 Commentary / Guideline
Commentary on the Directive on Ad hoc Publicity
Commentary on the Directive on Ad hoc Publicity (DAH Commentary), Completely revised version as of 1 November 2011
23 May 2011 Annual Report
Jahresbericht 2010 der Offenlegungsstelle von SIX Swiss Exchange AG, German
04 May 2011 Commentary / Guideline
Commentary re Art. 56 of the Listing Rules and the Directive on the Disclosure of Management Transactions (Commentary MT)
This commentary serves to describe the provisions of Art. 56 of the Listing Rules (LR) and the Directive on the Disclosure of Management Transactions (DMT and is intended to offer a guide to interpretation. The Listing Rules should be interpreted in accordance with the Federal Act on Stock Exchanges and Securities Trading (SESTA). The DMT should be interpreted in accordance with the SESTA and the LR.
09 Jun 2010 Annual Report
Jahresbericht 2009 der Offenlegungsstelle von SIX Swiss Exchange AG, German
15 Jul 2009 Annual Report
Jahresbericht 2008 der Offenlegungsstelle von SIX Swiss Exchange AG, German
04 Jun 2008 Annual Report
Jahresbericht 2007 der Offenlegungsstelle von SWX Swiss Exchange AG, German
14 Jun 2007 Annual Report
Jahresbericht 2006 der Offenlegungsstelle von SWX Swiss Exchange, German
22 May 2006 Annual Report
Jahresbericht 2005 der Offenlegungsstelle von SWX Swiss Exchange, German
25 Jul 2005 Annual Report
Jahresbericht 2004 der Offenlegungsstelle von SWX Swiss Exchange, German
30 Jun 2004 Annual Report
Jahresbericht 2003 der Offenlegungsstelle von SWX Swiss Exchange, German
28 Aug 2003 Annual Report
Jahresbericht 2002 der Offenlegungsstelle von SWX Swiss Exchange, German
20 May 2002 Annual Report
Jahresbericht 2001 der Offenlegungsstelle von SWX Swiss Exchange, German
15 Nov 2001 Annual Report
Jahresbericht 2000 der Offenlegungsstelle von SWX Swiss Exchange, German
01 Sep 2000 Annual Report
Jahresbericht 1999 der Offenlegungsstelle von SWX Swiss Exchange, German
23 Feb 1999 Annual Report
Jahresbericht 1998 der Offenlegungsstelle Schweizer Börse SWX , German
Application for the use of Internet-based listing of securities
Report GesKR 1/2013
Befreiung von Aufrechterhaltungspflichten (Publizitätspflichten) – Praxis der SIX Exchange Regulation, German
Audit of participants of SIX Exchange Regulation Ltd
Guidelines: Audit of participants
Guidelines for the audit of participants SIX Exchange Regulation Ltd
Information on the operation of the DO publication platform
Issuer Declaration and Declaration of Consent for Non-Swiss Bond Issuers
Monthly reporting of newly created equity securities from conditional capital
Power of attorney for activating a user account for Internet-based listing of securities
Sample Report - Audit of participants
User Manual for login with Futurae mobile app
User Manual for login with RSA Self-Service Console
Zustimmungserklärung Sponsored Anlagefonds, German
Der sponsernde Effektenhändler im Sinn von (Art. 3 Abs. 4) des Reglements für die Zulassung zum Handel von Anlagefonds im SIX Swiss Exchange-Sponsored Anlagefondssegment erklärt, dass:
Zustimmungserklärung Sponsored Foreign Shares, German
Der sponsernde Effektenhändler im Sinn von (Art. 3 Abs. 3) des Reglements für die Zulassung zum Handel von Beteiligungsrechten im SIX Swiss Exchange-Sponsored Segment erklärt, dass: