Regulation and Supervision
The two operational arms of SIX Securities Services, the CSD, SIX SIS Ltd, and the CCP, SIX x-clear Ltd, are financial market infrastructures under supervision of the Swiss Financial Market Supervisory Authority (FINMA).
Individual operational components of SIX Securities Services are also subject to oversight by the Swiss National Bank (SNB) as systemically important payment and settlement systems. These include SIX SIS Ltd and SIX x-clear Ltd as well as the securities settlement system, SECOM, and the over arching interbank payment system, SIC, to which it is linked.
SIX Securities Services must also comply with a range of regulatory requirements, including stress tests by the risk control function, as well as regular internal and external auditing of key aspects of the business.
Further regulatory information
Wolfsberg Group Financial Crime Compliance Questionnaire
[Source/Quelle: © www.wolfsberg-principles.com]
The Association of Global Custodians - Questionnaire 2017 - 2018
[Source/Quelle: © www.theagc.com]