Audits of SWX Participants
According to Section 1.19 paragraphs 4 and 5 of the SWX Swiss Exchange AG General Conditions (GC) SWX Swiss
Exchange AG participants are obliged to submit an annual audit report from their external auditors to
Enforcement & Compliance. This report must cover compliance with selected points from
the SWX Swiss Exchange Rules and Regulations.
The requirements that must be met when conducting audit work, as well as further explanations, can
be found in the Audit of SWX Participants guidelines.
There are two different audit programmes - one for even and one for uneven calendar years.
The audit programme which applies in any given calendar year will be published on the Internet
by 30 June of that year.
The audit report and audit programme for the 2008 calendar year must be submitted to the SWX Swiss Exchange
by 31 March 2009.
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Address
| SWX Swiss Exchange AG
Enforcement & Compliance
Selnaustrasse 30
P.O. Box
CH-8021 Zurich
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Documentation on participant audits 2008
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Description
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Guidelines: Audit of SWX Swiss Exchange AG/Scoach Schweiz AG participants
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Standard wording for audit reports
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Audit programme for the 2008 calendar year
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Full overview of the examination points in even and uneven calendar years
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Other documents relating to participant audits
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Description
| Download | |
SWX Trade Type Code Overview
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SWX Platform Terminology
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Registration form: Responsible compliance officer / Auditors of SWX Participants
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FAQ Guidelines
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