Rule Book
Content
Purpose
Purpose
Structure of the Rule Book
Structure of the Rule Book
Admission
Admission requirements
Authorisation as securities trader or remote member
Authorisation as securities trader or remote member
Participation in a clearing and settlement organisation
Participation in a clearing and settlement organisation
Collateral deposit
Collateral deposit
Connection to the exchange system
Connection to the exchange system
Admission requirements
Participants' rights and obligations
Continued compliance with admission requirements
Continued compliance with admission requirements
Compliance with statutory and regulatory provisions and rulings from the relevant supervisory authority and the Exchange
Compliance with statutory and regulatory provisions and rulings from the relevant supervisory authority and the Exchange
Appropriate organisation and registration obligations
Principle
Principle
Registration of traders
Registration of traders
Clients with direct market access (direct electronic access; DEA)
Clients with direct market access (direct electronic access; DEA)
Appropriate organisation and registration obligations
Reporting obligation
Reporting obligation
Duty to trade on the Exchange
Duty to trade on the Exchange
Duty to provide information
Duty to provide information
Use of the exchange system
Use of the exchange system
Charges and costs
Charges and costs
Participants' rights and obligations
Admission as a market maker
Admission as a market maker
Liability
Liability of the Exchange
Liability of the Exchange
Liability of the participant
Liability of the participant
Liability
Suspension and termination of participation
Suspension of participation
Suspension of participation
Termination of participation
Termination
Termination
Consequences of terminating participation
Consequences of terminating participation
Termination of participation
Suspension and termination of participation
Possibilities of appeal
Possibilities of appeal
Admission
Trading
General provisions
Trading on the Exchange
Trading on the Exchange
Market conduct
Market conduct
Trading segments
Trading segments
Market control
Market control
Market surveillance
Market surveillance
Reporting
Reporting
Trading publicity
Trading publicity
General provisions
On-order-book trading
Order book
Order book
Orders
Orders
Market making
Market making
Market model and price-setting rules
Market model and price-setting rules
Special situations
Extraordinary situations
Extraordinary situations
Emergency situations
Emergency situations
Cancellation and reversal of trades
Cancellation and reversal of trades
Special situations
On-order-book trading
On-exchange, off-order-book trades
Reporting of trades to the Exchange
Content of trade reports
Content of trade reports
Trade reporting deadlines
Trade reporting deadlines
Reporting functions
Reporting functions
Correction of Trade Reports
Correction of Trade Reports
Deferred publication
Deferred publication
Reporting of trades to the Exchange
"Over the Exchange" services
"Over the Exchange" services
On-exchange, off-order-book trades
Use and publication of market information
Use and publication of market information
Trading
Clearing and settlement
General provisions
Execution of trades
Execution of trades
Clearing and settlement instructions
Clearing and settlement instructions
General provisions
Trades not involving a central counterparty
Contracting parties
Contracting parties
Content of contract
Equity securities and investment fund units
Equity securities and investment fund units
Derivatives
Derivatives
Bonds
Bonds
Condition and deliverability of securities
Condition and deliverability of securities
Material warranty
Material warranty
Legal warranty
Legal warranty
Consequences of default
Consequences of default
Applicable law and arbitration clause
Applicable law and arbitration clause
Content of contract
Execution
Execution
Trades not involving a central counterparty
Trades involving a central counterparty
Contracting parties
On-order-book trades
On-order-book trades
Off-order-book trades
General provisions
General provisions
Exception for the SIX Swiss Exchange Liquidnet Service (SLS)
Exception for the SIX Swiss Exchange Liquidnet Service (SLS)
Off-order-book trades
General Clearing Member (GCM)
General Clearing Member (GCM)
Contracting parties
Content of contract
Content of contract
Execution
Execution
Trades involving a central counterparty
Clearing and settlement
Monitoring and enforcement
Duties to provide information
Duties to provide information
Audit
Audit
Violations of the Rule Book
Violations of the Rule Book
Sanctions
Sanctions
Monitoring and enforcement
Final provisions
Confidentiality
Confidentiality
Partial invalidity
Partial invalidity
Amendments to the Rule Book
Amendments to the Rule Book
Binding nature
Binding nature
Applicable law and arbitration clause
Applicable law and arbitration clause
Transitional provisions
Transitional provisions
Entry into force
Entry into force
Revision
Revision
Final provisions
III Clearing and settlement
The provisions of Part III govern the clearing and settlement of on-exchange trades.
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