The Stock Exchange Agreement serves as the foundational document governing the relationship between a Swiss stock exchange and its members or participants. This agreement is essential for any financial institution seeking to participate in Swiss securities trading markets. It is designed to comply with Swiss financial market regulations, particularly the Financial Market Infrastructure Act (FMIA) and FINMA requirements, while establishing clear operational parameters for trading activities. The document covers crucial aspects such as membership criteria, trading rights, technical requirements, risk management procedures, and compliance obligations. It is typically used when financial institutions apply for exchange membership or need to update their existing trading arrangements. The agreement's Swiss jurisdiction is particularly significant given Switzerland's position as a leading financial center and its robust regulatory framework for financial markets.
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1. Parties: Identification of the contracting parties - the stock exchange and the member/participant
2. Background: Context of the agreement and brief description of the parties' intentions
3. Definitions and Interpretation: Detailed definitions of terms used throughout the agreement and rules of interpretation
4. Membership Rights and Obligations: Core terms regarding exchange membership, including rights, privileges, and obligations
5. Trading Rules and Regulations: Specific rules governing trading activities, order execution, and market conduct
6. Compliance Requirements: Obligations regarding regulatory compliance, including FINMA requirements and anti-money laundering regulations
7. Technical Requirements: Technical specifications and requirements for connecting to and using the exchange's trading systems
8. Fee Structure: Framework for membership fees, trading fees, and other applicable charges
9. Risk Management: Provisions regarding risk management, margin requirements, and default procedures
10. Market Data Rights: Terms governing the use and distribution of market data
11. Confidentiality: Provisions regarding the handling of confidential information
12. Representations and Warranties: Standard representations and warranties from both parties
13. Liability and Indemnification: Limitations of liability and indemnification obligations
14. Term and Termination: Duration of the agreement and circumstances for termination
15. Dispute Resolution: Procedures for resolving disputes, including jurisdiction and applicable law
16. General Provisions: Standard boilerplate clauses including notices, amendments, and assignment
1. Market Making Obligations: Required when the member will act as a market maker, specifying obligations and privileges
2. Clearing and Settlement: Needed when the exchange provides clearing services or has specific settlement requirements
3. Cross-Border Trading: Required for members engaging in cross-border trading activities
4. Algorithmic Trading: Specific provisions for members using algorithmic or high-frequency trading systems
5. Special Membership Categories: Required for specific types of membership such as remote membership or sponsored access
6. Emergency Procedures: Detailed procedures for market emergencies or technical failures
7. Data Protection: Additional provisions required for handling personal data under Swiss data protection laws
1. Schedule 1 - Fee Schedule: Detailed breakdown of all applicable fees and charges
2. Schedule 2 - Technical Specifications: Detailed technical requirements and specifications for system connectivity
3. Schedule 3 - Trading Hours and Calendar: Trading hours, holidays, and special trading sessions
4. Schedule 4 - Market Segments: Details of different market segments and associated trading rules
5. Schedule 5 - Reporting Requirements: Specific reporting obligations and formats
6. Appendix A - Contact Details: List of key contacts and escalation procedures
7. Appendix B - Required Documentation: List of documents required for membership maintenance
8. Appendix C - Compliance Procedures: Detailed compliance procedures and requirements
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