Trading: Surveillance

In order to ensure the integrity of the stock market and the confidence of investors, the Ljubljana Stock Exchange monitors stock exchange members, their management of orders for trading on the stock market and the execution of stock exchange transactions in order to:
  • monitor the fulfillment of conditions for membership on the Ljubljana Stock Exchange,
  • monitor the compliance with the rules regarding the settlement of stock exchange transactions,
  • verification that trading on the stock exchange market is conducted in a fair and orderly manner and in accordance with the rules of stock exchange trading,
  • detecting and preventing market abuse practices such as market manipulation and inside trading.
In the event of deviations or breaches of obligations by members, the Exchange shall, in accordance with its competences, take the following measures in particular:
  • forwarding a call to the member firm for clarification,
  • issuing warnings to the member firm for non-fulfillment of obligations and elimination of irregularities,
  • issuing recommendations or instructions to a member firm,
  • notification to the Agency of suspected or established iviolations,
  • exclusion of a stock exchange member from trading,
  • exclusion of a member firm from membership.