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UBS MTF Trading Notification - Addition Of Exchange Traded Funds

Date 14/04/2011

As of start of trading on Monday 18th April 2011, Exchange Trade Funds (ETFs) will be available for trading on UBS MTF.
Testimony On The Financial Stability Oversight Council By Robert Cook, Director, Division Of Trading And Markets On Behalf Of Mary L. Schapiro, Chairman, U.S. Securities And Exchange Commission Before The United States House Of Representatives Committee On Financial Services Subcommittee On Oversight And Investigations

Date 14/04/2011

Thank you for the opportunity to testify on behalf of the Chairman of the Securities and Exchange Commissionregarding the Financial Stability Oversight Council (“FSOC” or the “Council”). FSOC was created by Title I of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) and has 10 voting members: the senior officials at each of the nine federal financial regulators and an independent member with insurance expertise appointed by the President. FSOC’s composition also includes five nonvoting advisory members: three from various state financial regulatorsas well as the Directors of the new Federal Insurance Office and Office of Financial Research (“OFR”).
ICMA: Investors Launch Transparency Initiative For Covered Bonds

Date 14/04/2011

ICMA Covered Bond Investor Council (CBIC), an industry body representing a diverse range of investors in the European covered bond market, and operating under the auspices of the International Capital Market Association, has today launched an initiative aimed at setting transparency standards for covered bonds.
FINRA Fines Jefferies $1.5 Million For Failing To Disclose Additional Compensation Paid And Conflicts In Sale Of Auction Rate Securities - Jefferies To Pay $425,000 To Customers; FINRA Also Fines And Suspends Two Brokers And Files Complaint Against A Third Broker

Date 14/04/2011

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Jefferies & Company, Inc. $1.5 million for failing to disclose additional compensation received and conflicts in connection with the sale of auction rate securities (ARS). FINRA also ordered Jefferies to repay $425,000 in fees and commissions earned from the sale of ARS to the affected customers.
Tokyo Stock Exchange: Two New ETFs To Be Listed

Date 14/04/2011

Today, Tokyo Stock Exchange, Inc. (TSE) approved the listing of the following two ETFs managed by Nomura Asset Management Co., Ltd.

Singapore Exchange Reprimands Medi-Flex Limited And Two Of Its Former Directors For Breaches Of Listing Rules

Date 14/04/2011

Singapore Exchange (the “Exchange”) reprimands Medi-Flex Limited (“Medi-Flex”) and two of its former directors (the “Former Directors”).
UK's Financial Services Authority Takes Action Against Two Firms Of IFAs Over The Promotion Of Complex Investment Products

Date 14/04/2011

The Financial Services Authority (FSA) has today fined IFA firm Specialist Solutions plc (Specialist Solutions) £35,000 for failing to assess adequately whether customers were eligible to receive promotions for Unregulated Collective Investment Schemes (UCIS) and failing to ensure that customers were given suitable advice to invest in them.
ESMA Sets Out Guidelines On Risk Measurement And The Calculation Of Global Exposure For Certain Types Of Structured UCITS

Date 14/04/2011

ESMA publishes today the final report on the guidelines on risk measurement and the calculation of the global exposure for certain types of structured UCITS (ESMA/2011/112).
Main Board And GEM Listed Issuer Corporate Documents 2010 On DVD

Date 14/04/2011

Three sets of digital video disks (DVDs) with listed issuer corporate document archives recently released for sale by Hong Kong Exchanges and Clearing Limited (HKEx) are now available for subscription.
EEX Sees Record Growth In 2010

Date 14/04/2011

The European Energy Exchange AG (EEX) concluded the financial year 2010 with record results. The Leipzig-based energy exchange achieved high growth rates in the field of both sales revenue and earnings before tax (EBT).