Source: https://www.bxswiss.com/regulatorische-informationen
Timestamp: 2020-07-02 05:49:06
Document Index: 219786205

Matched Legal Cases: ['Art. 39', 'Art. 18', 'Art. 27', 'Art. 48', 'Art. 51', 'Art. 51', 'Art. 18']

Regulatory Information - BX Swiss
Trading Rules (1.1.2020)
The Trading Rules govern the organisation of trading, the execution of trades, and their clearing and settlement.
Trading Directive (18.03.2020)
This directive is based on the BX Trading Rules and contains additional provisions on trading.
Clearing & Settlement Directive (01.01.2018)
This directive is based on the BX Trading Rules and contains implementing provisions for the clearing and settlement on the BX.
Market Control Directive (17.12.2018)
This directive is based on the BX Trading Rules and contains implementing provisions for the market control.
Participant Rules (1.1.2020)
On the basis of the Financial Market Infrastructure Act (FMIA), the Participant Rules govern the requirements, admission, suspension, termination, rights and obligations of the BX participants.
List of Fees (04.09.2019)
The List of Fees governs the fees which participants and issuers are obligated to pay pursuant to the rules of the BX.
BX form to authorize traders
BX form contact persons at trading participant
Rules of the Reporting Office (01.01.2018)
These regulations regulate the fulfilment of the statutory reporting obligations for securities transactions pursuant to Art. 39 FMIA.
Price list of the Reporting Office (01.05.2019)
The price list of the Reporting Office regulates the fees incurred by participants in the course of fulfilling their reporting obligations.
Registration form for users of the BX reporting tool
Rules of the Disclosure Office (27.11.2017)
These rules govern the responsibilities and competences of the disclosure office.
Disclosure reporting: https://www.bxswiss.com/ols
Reporting of management transactions
Reporting form for management transactions
This form is used to report management transactions in accordance with Art. 18 of the Listing Rules. Further information is available at: https://www.bxswiss.com/disclosures.
Regulations of the bodies defined in accordance with Art. 27 FMIA, which perform the statutory regulatory and supervisory tasks on the BX.
Rules of the Appeal Body (1.1.2020)
Rules of the Sanction Commission (1.1.2020)
Rules of the Trading Surveillance Office (27.11.2017)
Rules of the Regulatory Board (1.1.2020)
Decisions of the Sanction Commission of BX Swiss AG
Decisions of the Sanction Commission (09.10.2015)
Pertaining to the violation of the ad hoc reporting obligation due to repeated failure of publishing decisions and measures in connection with the subscription of convertible loans.
Decision of the Sanction Commission (28.09.2018)
Pertaining to the violation of the ad hoc reporting obligation in the event of criminal proceedings being instituted.
Decision of the Sanction Commission (11.04.2019)
Pertaining to the violation of the ad hoc reporting obligation in the event of criminal proceedings being instituted against members of the board of directors in the context of a secondary mandate.
Listing/Admission & Reporting Obligations
Listing Rules (1.1.2020)
The Listing Rules determine the requirements for an issuer to list its securities and its regular reporting obligations.
Transitional Directive of BX Swiss AG (1.1.2020)
The transitional directive of BX Swiss AG governs the application of the transitional periods under FinSA and FinSO to the regulations of BX Swiss AG, in particular in connection with the reviewing of prospectuses.
Foreign Trading Venues pursuant to Art. 48 FinSO (01.01.2020)
List of foreign trading venues recognised by BX Swiss pursuant to Article 48(3) of the Financial Services Ordinance (FinSO)
Recognised accounting standards pursuant to Art. 51 FinSO (01.01.2020)
List of the accounting standards generally recognised for listings on BX Swiss pursuant to Art. 51 para.3 Financial Services Ordinance (FinSO)
Directive Track Record (01.06.2012)
This Directive governs the requirements for granting exemptions to the listing requirement of the minimum duration of one year of the issuer’s existence in accordance with clause 4.3 of the Listing Rules.
Regular reporting obligations of primary listed issuers (01.05.2018)
Describes the regular reporting obligations of primary listed issuers during the maintenance of listing.
Regular reporting obligations of dual-listed issuers (01.05.2018)
Describes the regular reporting obligations of dual-listed issuers during the maintenance of listing.
Worldbonds - Rules for Admission to trading (02.09.2019)
These rules govern the admission, maintaining and termination of the admission to trading of domestic and foreign bonds, convertible bonds, warrant bonds, exchangeable bonds, floating rate notes and other debt securities which are listed or admitted to trading on a trading platform which is recognised by BX Swiss AG (hereinafter “BX”).
Additional Rules for the Listing of Derivatives (1.1.2020)
In addition to the Listing Rules, these Additional Rules define the requirements concerning issuers and debtors, products and disclosure for the listing of derivatives on the BX.
Directive to the Listing Procedure for Derivatives (1.7.2020)
In addition to the Additional Rules for Derivatives, this directive lays down the special requirements for the procedures for listing, maintaining and terminating the listing of derivatives.
Directive to the regular reporting obligations for derivatives (1.7.2019)
This directive lays down the issuers’ regular reporting obligations for derivatives listed in accordance with the Additional Rules for Derivatives.
Scheme A – derivatives (20.07.2018)
Scheme A regulates the information in the listing prospectus for derivatives that are listed in accordance with the Additional Rules for Derivatives.
Additional Rules for the Listing of Exchange Traded Products (1.1.2020)
In addition to the Listing Rules, the present rules define the special requirements for the listing, maintaining and termination of the listing of exchanged traded products (ETP) on BX Swiss (hereinafter “BX”).
Listing Rules for Collective Investment Schemes (1.1.2020)
These rules define the requirements for the listing, maintenance and delisting of collective investment schemes in the segment BX Swissfunds.
Directive to the regular reporting obligations for collective investment schemes (17.06.2019)
This directive lays down the issuer's regular reporting obligations for collective investment schemes (CIS) in the context of maintaining the listing.
Swissfunds ETF Spreads (07.03.2017)
Annex: ETF-Spreads
Worldfunds – Rules for admission to trading (1.1.2020)
These rules govern the admission, the maintaining of the listing and the termination of the admission to trading of investment funds in the segment BX Worldfunds.
Worldcaps – Rules for admission to trading (1.1.2020)
Regulates the admission to trading, maintenance and withdrawal of equity securities in the Worldcaps segment.
Decisions of the BX Admission Board
Decision: Listing facilities for SIX-listed issuers
Decision of the Admission Board of 6 April 2009 concerning facilitation of listing for issuers listed on the SIX, waiver of listing prospectus.
Decision: Listing facilities for real estate and investment companies
Decision of the Admission Board of 12 June 2009 on facilitation of listing for real estate and investment companies
Decision: Exemption from the reporting requirement for management transactions for certain third parties
Decision of the Admission Board of 24 April 2018 regarding exemption from the reporting requirement for management transactions pursuant to Art. 18 LR if a third party does not actually perform management functions.
BX Swiss market is open, stocks are tradable live.
BX Swiss market is closed, opening at 09:00 the next working day.
Tradable Quotes are valid for 30 sec.
If the Designated Market Maker (DMM) does not provide timely a new tradable quote, trading in the relevant order book will be interrupted. Trading is immediately resumed when the DMM provides a valid tradable quote.
BX Listed securities
BX Listed securities are flagged and are subject to BX listing rules. Non-flagged instruments are admitted to trading on BX, subject to BX rules for admission to trading and not classified as listed on BX.
The information contained on this website is for information purposes only. None of the information contained on this website constitutes a solicitation, offer or recommendation to buy or sell securities or to effect any other transactions. Past performance of securities is no guarantee of future performance of the securities concerned.
The products and services presented on the this website are not intended for persons who, due to their nationality, place of residence, domicile or other reasons, are subject to any legislation prohibiting foreign financial service providers from carrying out their business activities, or whose underlying legal or natural persons prohibit or restrict access to websites of foreign financial service providers. Persons on whom such restrictions are imposed are not permitted to access this website. This applies in particular to persons resident in the United States of America, the United Kingdom, Germany, Italy, Spain, Norway, Singapore and Japan and all other countries under whose laws the publication of financial information of foreign financial service providers is restricted or prohibited.