Reporting Agent Training & Exam Preparation

Q: In which languages can the individual exams be taken?

The exams can be taken in English and German.

Q: 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.

Q: Where are the individual exams held, and what is the administrative procedure?

Participants 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.

Q: Are any practice questions available to help prepare for the exam?

Practice questions are available in the form of a self-study test.

Table of Contents

Benefits
Self-study documents
Self-Study Test
Reporting Agent Examination
FAQ
Contact

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?

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	Time	Course Language	Location	Booked / Total 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

Procedure

The 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? Are any practice questions available to help prepare for the exam? In which languages can the individual exams be taken? 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.

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