The Surveillance function within Nasdaq Nordic has the primary goal of working to maintain 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.
Disciplinary Procedures Nasdaq Copenhagen
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Decisions and Statements is a summary of the cases which Nasdaq Copenhagen A/S has found to be of significance for the understanding of the regulation of securities concerning listed companies, including listing requirements and disclosure obligations as well as trading rules for members of the Exchange.
The purpose of Decisions and Statements is to provide a better understanding of the way in which the Exchange interprets and administers the exchange rules for issuers and traders in practice. Cases which are found to be of importance to the issuers, advisers, members and others with interest in the Danish securities market, are published continuously.
When the Exchange sanctions an issuer or a member in connection with a breach of the Exchange rules, the decision is usually published identifying the name of the issuer/member.
In the event that the Exchange finds that an issuer or a member has not breached the rules, but has acted in a reprehensible manner, the Exchange may make a remark to the issuer/member. Such cases may also be published in Decisions and Statements in anonymous form.