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How Surveillance works

The Surveillance function within the Nasdaq Nordic has the primary goal of working to maintain and enhance the integrity and confidence in the exchange amongst the general public. This is mainly achieved by means of a credible, professional and integrated surveillance of the trading and the listed companies and also by assuming surveillance responsibility for the listing of equities and other financial instruments.

The tasks for Surveillance mainly consist of:

a) monitoring that the participants adhere to the applicable rules and regulations
b) enforcing the rules in order to ensure a level playing field for the market participants
c) responsibility for the formal process in connection with the listing of financial instruments
d) taking specific action (advising the companies, scrutinizing and reviewing listing documents, assuming responsibility for the exchanges' listing committees, developing listing requirements for the various instruments, etc.) during the listing of new instruments
e) providing training as regards the exchanges' rules
f) providing qualified service to issuers, members and advisors through a high degree of expertise and constant accessibility
g) develop the rules and regulations regarding issuers
h) co-operating with the Trading Surveillance departments within the Norex exchanges and with other Nasdaq units, to develop the rules for trading and for the members

The surveillance tasks are related partly to the trading as such, but they also concern the activities of members, the listed companies and other market participants activities in relation to applicable rules. The tasks also involve the listing of financial instruments such as equities, warrants, bonds and other interest-bearing instruments. In Copenhagen, there are also special activities with respect to mutual funds and prospectuses.

 

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