Application Form for
SIX Swiss Exchange AG Participation
1. Name and Address of Applicant
Company Name:
Number:
Street:
ZIP Code:
City:
Phone:
Fax:
Country:
Website:
Address must be equal with the registered address in the commercial register.
Parent Company Name and Address (if applicable):
2. Auditors
Company name and address of auditors recognised by the responsible independent supervisory authority:
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3. Technical Connectivity and Interfaces
Direct Connectivity
Indirect Connectivity
Internet
Via SIX Swiss Exchange approved Application
Service Provider (ASP) or Trading Member
Managed IP Service
Name of ASP or Trading Member:
Ethernet Service
Optical Link
Proximity Service
Co-Location Access
London Access Point
Interfaces
STI - Standard Trading Interface
MDI - Market Data Interface
QTI - Quote Trading Interface
IMI - ITCH Market Data Interface
OTI - OUCH Trading Interface
GLIMPSE - Snapshot Recovery Service
RDI - Reference Data Interfaces
Technical Contact Persons
Name of Technical Coordinator:
Phone:
Fax:
E-Mail:
Fax:
E-Mail:
Name of System Administrator:
Phone:
Company Name of Third Party IT Support Provider (contractual):
Phone:
Fax:
E-Mail:
Fax:
E-Mail:
4. Invoicing Details
Name of Contact Person:
Phone:
Company Name and Address:
Street:
City:
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Number:
ZIP Code:
Country:
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5. Clearing and Settlement
Please indicate intended clearing status:
Individual Clearing Member (ICM)
General Clearing Member (GCM)
Name of GCM:
Non Clearing Member (NCM)
6. Authorisation as Securities Dealer
Only companies which have received authorisation pursuant to Article 10 of the Swiss Federal Act on Stock
Exchanges and Securities Trading (Stock Exchange Act, SESTA, SR 954.1) (formal approval as a securities dealer
for companies with their registered office in Switzerland) or Article 40 of the Swiss Federal Act on Financial Market
Infrastructures and Market Conduct in Securities and Derivatives Trading (Financial Market Infrastructure Act, FMIA,
SR 958.1) (authorisation of foreign participant with no registered office in Switzerland) may be admitted to SIX Swiss
Exchange.
We hereby declare:
That we have received authorisation from the Swiss Financial Market Supervisory Authority (FINMA) as a
securities dealer.
That we have submitted a request for such approval to the FINMA.
7. Administrative Information
7.1 Trading
Name of Business Coordinator:
Phone:
Fax:
E-Mail:
Fax:
E-Mail:
Fax:
E-Mail:
Name of Head Trader - Equities:
Phone:
Name of Head Trader - Bonds:
Phone:
Name of Head Trader - Derivatives:
Phone:
Fax:
E-Mail:
E-Mail Recipient(s) for Cancellation Notification
Production:
Membertest:
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7.2 Compliance
Name of Compliance Officer:
Phone:
Fax:
E-Mail:
7.3 Clearing and Settlement
Name of Contact Person in Charge of Clearing:
Phone:
Fax:
E-Mail:
Name of Contact Person in Charge of Settlement:
Phone:
Fax:
E-Mail:
7.4 Trader Examination for Traders and Reporting Agents
*Name of 1st Person in Charge of Trader and Reporting Examination
(mandatory, must be Compliance Officer):
Phone:
Fax:
E-Mail:
*Name of 2nd Person in Charge of Trader and Reporting Examination (mandatory):
Phone:
Fax:
E-Mail:
*We declare that we have read, understood and hereby agree to the following:
All traders and reporting agents of the Applicant who will trade on SIX Swiss Exchange have to obtain a SIX
Swiss Exchange Trading or Reporting Agent License. All traders have to register for the resp. Examination before
the first trading day of the Applicant. SIX Swiss Exchange grants to traders and reporting agents of the Applicant
a one-off provisional registration of 3 months starting from the first trading day of the Applicant. Within this period
of time the traders and reporting agents have to pass the respective Examination.
For further information please refer to the document “Participant requirements for trader examinations” and to the
website of Member Education:
http://www.six-swiss-exchange.com/participants/participation/traders/education_en.html
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8. Applicable Law and Arbitration Clause
This application form and the SIX Swiss Exchange rules and regulations, including (but not limited to) the SIX Swiss
Exchange Rule Book, shall be subject to the substantive laws of Switzerland. It has been issued in the context of selfregulation activities, as described in Articles 27-28 FMIA. This choice of law also applies to all of the legal issues
referred to in Art. 2 para. 1 of the Hague Securities Convention.
Disputes with SIX Swiss Exchange AG and the Regulatory Bodies (currently, these are the Regulatory Board, SIX
Exchange Regulation, the Sanction Commission and the Appeals Board), specifically including those relating to
sanctions that have been imposed, will be decided exclusively and finally by their Zurich-domiciled Court of
Arbitration after any internal remedies provided for in the above Legal Foundations have been exhausted. The Court
of Arbitration comprises one chairman and two arbitrators, one appointed by each of the parties for the individual
case in question. The chairman and his deputy are appointed by the President of the Swiss Federal Supreme Court
for a four-year term of office. If several parties are plaintiffs or defendants, they agree on one common arbitrator
otherwise the corresponding arbitrator will be appointed by the competent court. The chairman may conduct an oral
procedure for reconciliation. The third part of the Swiss Federal Code of Civil Procedure (Schweizerische
Zivilprozessordnung) is applicable to the arbitration proceedings. In any case a possible arbitration code passed by
the Regulatory Board supercedes the Swiss Federal Code of Civil Procedure and Chapter 12 of the Federal Statute
on Private International Law (Bundesgesetz über das internationale Privatrecht [IPRG], SR 291) is expressly
excluded.
9. Application and Declaration for SIX Swiss Exchange Participation
We hereby apply to participate in securities trading on SIX Swiss Exchange AG in accordance with SIX Swiss
Exchange rules and regulations.
We hereby declare that we have read and understood the SIX Swiss Exchange rules and regulations, including (but
not limited to) the SIX Swiss Exchange Rule Book. We further declare that we shall recognise and comply with the
SIX Swiss Exchange rules and regulations, including (but not limited to) the SIX Swiss Exchange Rule Book, as well
as the SIX Swiss Exchange messages and guidelines as valid at any given time.
Finally we give authorization to publish our business name on the list of trading participants on the SIX Swiss
Exchange website.
Place and Date
1. Name and valid signature of Applicant
2. Name and valid signature of Applicant
10. Declaration of SIX Swiss Exchange AG
SIX Swiss Exchange AG and the Regulatory Bodies hereby declare their agreement with the aforementioned
Applicable Law and Arbitration Clause.
Zurich,
Place and Date
1. Name and valid signature of SIX Swiss Exchange AG
2. Name and valid signature of SIX Swiss Exchange AG
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Appendix A: Documents Submitted
We hereby submit the following documents:
Copy of the FINMA securities dealer licence or the FINMA remote member authorisation
Current excerpt from the commercial register, certified by a court or a notary, as proof of
i) registration of the applicant's registered office or branch office
ii) the business purpose of the company
iii) the persons who represent the company
Latest annual financial statements with auditors` report (if not included in the annual report)
Organisational chart of the enterprise or group as applicable
Detailed description and chart of ownership structure (percentage stake of shareholders)
Information pertaining to the composition of the board of directors and the executive board
Description of the intended trading activities in Switzerland
Signatory list (Please ensure that all signatories on this application form are part of the signatory list)
All documents must be in English, German or French.
Comments on enclosures:
Important Information
Print
Please return your completed and signed form by post to:
SIX Swiss Exchange AG, Member Services
Pfingstweidstrasse 110, P.O. Box, CH-8021 Zurich
Reset
For business questions please contact Member Services Zurich.
For technical questions please contact your Local Support Center.
SIX Swiss Exchange AG
Member Services
Pfingstweidstrasse 110
P.O. Box
CH-8021 Zurich
Geneva
London
Zurich
P +41 58 399 2473
F +41 58 499 2476
[email protected]
www.six-swiss-exchange.com
Application Form for SIX Swiss Exchange AG | v6.10
[email protected]
[email protected]
[email protected]
+41 58 399 5642
+44 20 7864 4364
+41 58 399 2400
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