Source

SIX Swiss Exchange message no. 24/2023

SIX Swiss Exchange message no. 24/2023 SWXess Maintenance Release SMR12 (SMR12) – Publication of trading regulations with entry into force on 4 December 2023

Category Regulation

Authorized by Alain Picard, Head Products Rebecca Stasolla, Head Change Delivery

Pages 2

Date 07.11.2023 Information

Content of this message:

– Publication of trading regulations for SMR12 with entry into force on 4 December 2023 – Publication of the updated “SMR12 – Release Guide” – Introduction of SMR12 in the Production environment planned for 4 December 2023

In SIX Swiss Exchange message no. 22/2023, the Swiss Stock Exchange informed participants about the start of the Membertest phase 2 for the SWXess Maintenance Release 12 (SMR12).

This message informs participants about the publication of the trading regulations for SMR12 with entry into force on 4 December 2023.

Release Guide The updated version of the “SMR12 – Release Guide” now also contains detailed information on the regulatory impact of SMR12. Changes since the last version of the document can be found in the document history of the brochure.

Further information on the SWXess Maintenance Release 12 (SMR12) can be found on the SWXess Maintenance Release (SMR) web page and in the Member Section of SIX Swiss Exchange AG.

Rules for the Admission of Equity Securities and Exchange Traded Products The current Rules for the Admission of Equity Securities (RES) will be amended in connection with the introduction of the trading service “ETF/ETP QOD Europe” and renamed to “Rules for the Admission of Equity Securities and Exchange Traded Products (RAT)”.

SIX Swiss Exchange AG T +41 58 399 5454 Pfingstweidstrasse 110 www.six-group.com P.O. Box CH-8021 Zurich

SIX Swiss Exchange message no. 24/2023 07.11.2023

Trading Regulations The following trading regulations are affected by the changes introduced with SMR12 and have been amended accordingly:

  • Directives of SIX Swiss Exchange AG

  • Directive 2: Technical Connectivity

  • Directive 3: Trading

  • Directive 5: Alternative Trading

  • Guidelines of SIX Swiss Exchange Ltd

  • List of Charges under the Trading Rules

  • Trading Parameters Guideline

The revised provisions will enter into force on 4 December 2023 and are available at the following link: https://www.six-group.com/en/products-services/the-swiss-stock-exchange/trading/tradingprovisions/regulation.html

A detailed list of the adjustments in the regulations of SIX Swiss Exchange AG can be found in Chapter 6 of the “SMR12 – Release Guide” or at the following link: https://www.ser-ag.com/en/resources/laws-regulationsdeterminations/archive.html

Membertest Phase The Membertest phase for SMR12 began on schedule on 11 September 2023 and the enhancements were introduced in the Membertest environment on 9 October 2023. Since then, all participants have been able to test all business-relevant processes, functionalities and applications.

Introduction The introduction of SMR12 in the Production environment is planned for 4 December 2023. The introduction will be confirmed with a SIX Swiss Exchange message by 24 November 2023.

The Swiss Stock Exchange continuously strives to expand and optimize its range of services and products, as well as its SWXess trading platform. As participants, you can benefit from the improvements of SMR12, which will ensure continued efficiency in trading on the 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

Links to SIX Swiss Exchange AG:

www.six-group.com | Member Section | Forms | Regulations | Directives