Trading Trader Training & Examination Reporting Agent Training & Examination Repo Trader Training & Examination Trading Simulation Products & Services SIX Swiss Exchange Education Trading Reporting Agent Training & Examination Reporting Agent Training & Examination Acquire the Necessary Knowledge to Act as a Reporting Agent on the Swiss Stock Exchange The Basics for Reporting Stock Exchange Transactions. This training and examination is aimed at Reporting Agents who are employed by a Participant or a Reporting Member of the Swiss Stock Exchange and wish to prepare for the Reporting Agent Examination. Acquire your Knowledge With the help of the module and our specialized training, you will be optimally prepared for the Swiss Stock Exchange Reporting Agent Examination.Sign up How You Will Benefit Reporting Agent Licence The Reporting Agent Examination ensures that Reporting Agents dispose of the required knowledge for reporting stock exchange transactions. Expertise Benefit from the real world insights and practical expertise of our trainers. Stability Ensure a smooth reporting process. How Do You Best Prepare? After careful study of the preparation documents, you will be well prepared to make optimal use of the subsequent training to clear up any ambiguities or uncertainties. During the training, we will go through the materials together. It is recommended to take the self-test before the exam, as it will give you a feel for what you can expect. The training courses take place at the SIX premises. It is also possible to prepare for the exam in self-study with the help of the extensive preparation material. A self-test is available online. Self-Study Documents Which documents do you need to prepare for your course or exam? SIX Swiss Exchange AG, Module Reporting Agent Financial Market Infrastructure Act, FMIA * Financial Market Infrastructure Ordinance, FMIO * Federal Act on Financial Institutions (Financial Institutions Act, FinIA)* Ordinance on Financial Institutions (Financial Institutions Ordinance, FinIO)* FINMA Financial Market Infrastructure Ordinance, FMIO-FINMA * 2018/02 FINMA Circular "Duty to report securities transactions" * Reporting Agent Training Details Content Registration Details Target Audience Reporting Agents who are employed by a SIX Swiss Exchange AG Participant or by a Reporting Member. Duration 1/2 day Cost CHF 300 per person, including training materials Location SIX premises in Zurich Language German and English Please note that cancellations or postponements must be submitted in writing to Member Education at least one week prior to the training date, otherwise no reimbursement of the fee can be guaranteed. Reporting Agent Module Regulatory Basis Issuer Regulations Regulations for Participants and Reporting Agents Surveillance & Enforcement Sanctions Registration Reporting Agent Training Date Heure Course Language Site Booked / Available Cost Test Your Knowledge - Self-Study Test The following self-study test helps you to test your level of know-how. As in the exam they are based on multiple-choice questions. Reporting Agent Self-Study Test Test your knowledge Reporting Agent Examination Details Procedure and Exam structure Registration Details Target Audience Reporting Agents who are employed by a SIX Swiss Exchange AG Participant or by a Reporting Member. Duration 1 hour Cost CHF 200 per person Language German and English ProcedureThe exam is conducted: online at the Participant's premises under the supervision of the responsible Compliance Officer for Reporting Members and others at SIX premises You will receive all information as soon as you have registered. Exam structure Multiple-choice exam 25 questions for Reporting Agent examination The result is shown online at the end of the exam Pass mark: 70% Registration Reporting Agent Examination Register as Participant Register as Reporting Member FAQ How many questions have to be answered in the individual exams? Trader Examination: 100 questions on the two modules, Rules and Regulations and Trading Trader Examination for Licensed Traders: 50 questions on the module Trading Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): 25 questions on the module Trading Reporting Agent Examination: 25 questions on the module Reporting Agent How long do the exams take, and can they be repeated if failed? Trader Examination: 2 hours Trader Examination for Licensed Traders: 1 hour Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): 1 hour Reporting Agent Examination: 1 hour The Trader Examination and Trader Examination for Licensed Traders can be retaken any number of times (rebook each time). The Trader Examination for Licensed Senior Traders with > 5 years of professional experience can be retaken 3 times. There is no need for the Licensed Senior Traders to rebook the exam. The login details will remain valid. Which material is relevant for each exam? Trader Examination: Modules Rules and Regulations and Trading Trader Examination for Licensed Traders: Module Trading Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): Module Trading Reporting Agent Examination: Module Reporting Agent Further details of the modules for each exam can be found under Preparatory Documentation. What is the best way to prepare for an exam? SIX Swiss Exchange offers preparatory courses covering the relevant topics for all four exams. We recommend that Senior Traders > 5 years of professional experience take the training course for Licensed Traders (Trading module). These courses can be provided on site as required. Are any practice questions available to help prepare for the exam? 30 selected questions from the actual exam are available in the form of a self-study test. In which languages can the individual exams be taken? The exams can be taken in English and German. Where are the individual exams held, and what is the administrative procedure? Participants Trader Examination: at the Participant's premises Trader Examination for Licensed Traders: at the Participant's premises Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): at the Participant's premises Reporting Agent Examination: at the Participant's premises Once the trader/reporting agent is signed up for the exam, the responsible Head Exam (Compliance Officer) at the participant company receives the login details needed for the trader/reporting agent to take the exam. The Compliance Officer is responsible for the proper handling of the exam. SIX Swiss Exchange sends the licence directly to the trader/reporting agent (cc: Head Exam) by e-mail once the exam is passed. Reporting Members At the premises of SIX in Zurich. How are the individual exams structured, and what is the pass mark? The multiple-choice exam is taken online using a computer at the participant's premises. The result is shown online at the end of the exam. Trader Examination: Pass mark 70% Trader Examination for Licensed Traders: Pass mark 70% Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): Pass mark 70% Reporting Agent: Pass Mark 70% What provision will enter into force when trader with the SIX Swiss Exchange license has been deactivated, and needs to be reactivated? Evidence of sufficient specialist knowledge is deemed supplied if the trader has passed the Trader Examination; Should the trader re-register at a later date, the evidence that was previously supplied will be recognised if no more than two years have elapsed since the previous registration was surrendered. Once this two-year period has elapsed, the trader must supply evidence of his specialist knowledge by passing the examination for Licensed Traders. What provision will enter into force when a "Reporting Agent" has been deactivated, and needs to be reactivated? Evidence of sufficient specialist knowledge is deemed supplied if the reporting agent has passed the examination; Should the reporting agent re-register at a later date, the evidence that was previously supplied will be recognized if no more than two years have elapsed since the previous registration was surrendered. Once this two-year period has elapsed, the reporting agent must supply evidence of his specialist knowledge by passing the examination for Reporting Agents.