[PDF] SIX Swiss Exchange message no. 47/2012

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SIX Swiss Exchange Ltd.

Selnaustrasse 30 P.O. Box 1758

CH-8021 Zurich

T +41 58 399 5454

F +41 58 499 5455

www.six-swiss-exchange.com

SIX Swiss Exchange message no. 47/2012

Subject

Regulations updated with SWXess Maintenance Release 3 (SMR3)

Category Regulation

Authorised by Rolf Broekhuizen, Head Business and Market Development

Adrian Isler, Head Market Operations

Pages 3

Information Date 19.09.2012

In SIX Swiss Exchange message no. 41/2012, SIX Swiss Exchange informed participants about the functional changes resulting from SWXess Maintenance Release 3 (SMR3). This message provides participants with detailed information on the amendments to SIX Swiss Exchange and Scoach Switzerland regulations that come into force with SMR3. The regulations listed below have been amended in line with SWXess Maintenance Release 3 (SMR3) and are now available on the SIX Swiss Exchange and Scoach Switzerland websites:

Rule Book

Reporting Office Rules for the Fulfilment of the Legal Reporting Requirements for Securities

Dealers

Directives

o Directive 3: Trading o Directive 4: Market Control o Directive 5: "Over the Exchange» Services (only SIX Swiss Exchange) o Directive 7: Fees and Costs The following functional changes have resulted in amendments to the regulations:

New naming for reporting functions

(one -sided and two-sided trade reports)

Use of reporting functionality

Deferred publication

Trade Type

Correction, cancellation and countertrade

Trading parameters "Swiss Pfandbriefe»

Mistrade- and cancellation fees

Below is a detailed overview of the amendments: Regulation

Type of

change

Reference SIX Swiss Exchange

Reference

Scoach Switzerland

Title

Rule Book

Changed Clause 11.1.3 Clause 11.1.3 Reporting functions New

Clause 11.1.4 Clause 11.1.4 Corrections of Trade

Reports

Changed Clause 14.2.3 lit. c - Bonds with differing nominal an d coupon currencies New

Clause 27 para. 3 Clause 26 para. 2 Revision

SIX Swiss Exchange message no. 47/2012 19.09.2012

2 | 3

Regulation

Type of

change

Reference

SIX Swiss Exchange

Reference

Scoach Switzerland

Title

Reporting Rules

(Reporting Office

Rules for the

Fulfilment of the Legal

Reporting

Requirements for

Securities Dealers)

New

Clause 2 - Legal foundations

New Clause 3.1 para. 2 - Securities dealers subject to reporting obligations

Changed Clause 3.2.2 - Exceptions

Changed Clause 5 lit. k - Trade Type

New

Clause 6.3 - Reporting functions

Changed Clause 6.4 - Publication

Changed Clause 7 - Transaction Report

Changed Clause 9 - Correction and cancellation

of reports

Deleted

Clause 11.5.2 - Transitional rules for foreign

participants (Remote

Member)

New

Clause 11.5.2 - Revision

Changed Annex A - Delayed publication of block

transactions in shares and investment funds New Annex B - Clause 4 - Fees to cover non-standard costs

Directive 3:

Trading

New

Clause 3. para. 2 Clause 3 para. 2 Clearing day

Changed Clause 9 Clause 9 Reference price adjustment Changed Clause 14 para. 2 lit. k Clause 12 para. 2 lit. k Trade Type

Changed Clause 15 Clause 13 Reporting functions

Changed Clause 16 Clause 14 Correction

New

Clause 17 Clause 15 Cancellation

New

Clause 18 Clause 16 Countertrade

Changed Annexes A and B,

Clause 9

Annex A, Clause 8 Deadline for reporting off-

order-book trades

Changed Annexes A and B,

Clause 10

- Delayed publication of reported trades

Changed Annexes C to P,

Clause 8

- Deadline for reporting off- order-book trades

Changed Annexes D to F, I, K to M,

O, Clause 9

- Delayed publication of reported trades New

Annex J, Clause 8 - Swiss Pfandbriefe

Changed Annex R Annex B Trade Types

Changed Annex S - Delayed publication

SIX Swiss Exchange message no. 47/2012 19.09.2012

3 | 3

Regulation

Type of

change

Reference

SIX Swiss Exchange

Reference

Scoach Switzerland

Title

Directive 4:

Market Control

New

Clause 3 para. 3 Clause 3 para. 3 Communication

New

Clause 5.5 Clause 5.5 Reports following

emergency situations

Changed Clause 6.1 Clause 6.1 Principle

Changed Clause 6.4 para. 1 Clause 6.4 para. 1 Effects of an annulment New Clause 6.4 para. 2 Clause 6.4 para. 2 Effects of an annulment New

Clause 6.5 para. 2 Clause 6.5 para. 2 Costs

Directive 5:

"Over the Exchange»

Services

New

Clause 4.3 para. 2 - Clearing day

Changed Clause 4.6 para. 2 - Trade Type

Directive 7:

Fees and Costs

Changed Clause 1.2 Clause 1.3 List of fees

New

Clause 5.3 Clause 6.3 Mistrade fee

New

Clause 5.4 Clause 6.4 Cancellation fee

The Trading Guides have also been revised in conjunction with the rollout of SMR3. The new versions can now be found under the following link:

Please find further information on SMR3 in the

"Participant Readiness» brochure and in the Member

Section of SIX Swiss Exchange.

If you have any questions, please do not hesitate to contact Member Services:

Telephone: +41 58 399 2473

E-Mail: member.services@six-group.com

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