SIX Exchange Regulation AG Swiss Stock Exchange Regulator Digitises Operations with DMS and Workflows

The initial situation at SER involved a decentralised storage system spread across various data silos, a highly complex permissions management system, and the physical archiving of documents. The processes within different departments were highly individualised and minimally automated. The heterogeneous system landscape made cross-team coordination difficult.

After analysing the current situation and gathering the requirements from each department through several workshops, an Enterprise Content Management (ECM) system and the appropriate implementation partner were selected through a multi-step evaluation process. The introduction of the new system ensures efficient and modern operations across all business processes. The new solution also supports SER in meeting the compliance requirements of the SIX Group and the regulatory directives of FINMA.

The introduction of the Enterprise Content Management system provides SER with numerous improvements. Centralising all documents and enriching them with metadata enhances the discoverability and classification of information, offering clear structures and promoting transparency. Information for cross-departmental reporting no longer needs to be painstakingly gathered, but is now readily available. The digital process management through workflows allows the standardisation of individual process steps and comprehensive documentation. This ensures that it is always traceable who made which changes and at what stage the process is. The digital archiving of documents leads to cost savings compared to physical archiving.