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The Surveillance function within the Nordic Exchange 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.
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Decisions and Statements is a summary of cases which the OMX Nordic Exchange Copenhagen A/S has found to be of significance for the understanding of the regulation of securities concerning listed companies’ disclosure obligations and securities’ admission to trading for members. The purpose of Decisions and Statements is to give a better understanding of how the Exchange interpret and administer 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 of the Danish securities market, are published currently as they appear.
When the Exchange reprimands an issuer or a member in connection with a breach of the rules, the decision is usually published with the name of the issuer/member. The Exchange can also make its voice heard and apologize to an issuer without this leading to a publication of the issuer's name. Such cases and other statements are discussed in anonymous form.
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