Investigation against Credit Suisse Funds AG

14 May 2014

SIX Exchange Regulation is opening an investigation against Credit Suisse Funds AG on the grounds of possible breaches of regular reporting obligations.

Having completed its preliminary investigations, SIX Exchange Regulation, which is charged by SIX Swiss Exchange Ltd with the monitoring and enforcement of issuer obligations, has opened an investigation against Credit Suisse Funds AG on the grounds of possible breaches of regular reporting obligations.

The investigation refers to a notification that was possibly sent late in January 2014 regarding the distribution relating to certain Exchange Traded Funds (ETFs) of Credit Suisse Funds AG. Within the framework of regular reporting obligations issuers are obliged to report to SIX Exchange Regulation technical and administrative information in order to guarantee smooth trading.

The duration of the investigatory proceedings is not determined. SIX Exchange Regulation will announce the findings. No further information will be provided while the investigatory proceedings are ongoing.

Become a bobsguide member to access the following

1. Unrestricted access to bobsguide
2. Send a proposal request
3. Insights delivered daily to your inbox
4. Career development