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FINRA Orders Raymond James & Associates, Inc. And Raymond James Financial Services, Inc. To Pay $1.69 Million In Restitution For Charging Unfair Commissions

Date 29/09/2011

The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS) to pay restitution of $1.69 million to more than 15,500 investors who were charged unfair and unreasonable commissions on securities transactions. FINRA also fined RJA $225,000 and RJFS $200,000.

ICAP Plc Trading Statement

Date 29/09/2011

ICAP plc (IAP.L), the world’s leading interdealer broker, announces its trading update ahead of the close period for the half year ending 30 September 2011: Group revenue in the six months ending 30 September 2011 is expected to be marginally ahead of the same period last year.

SEC: Fee Rate Advisory #4 For Fiscal Year 2012

Date 29/09/2011

Congress is currently working on legislation to fund the Securities and Exchange Commission for the first several weeks of FY 2012, which begins on Oct. 1. However, regardless of the outcome of this work, the fees paid under Section 31 of the Securities Exchange Act will remain at their current rate until 60 days after the enactment of a regular appropriation for the Commission.

Platts Expands North American Natural Gas Forward Curve Offering - Data Now Available For Short Period between Spot And Front-Month Forward

Date 29/09/2011

Hellenic Exchanges S.A. - Election Of New Member To The Board Of Directors Of The Company

Date 29/09/2011

The Board of Directors of Hellenic Exchanges, at its meeting yesterday, elected Mr. Alexios Pilavios, as new non-executive member, in place of Mr. Artemis Theodoridis who resigned. Mr. Pilavios is General Manager of the Wealth Management Business Unit at Alpha Bank.

SEC: Fee Rate Advisory #3 For Fiscal Year 2012

Date 29/09/2011

As previously announced, starting on Oct. 1, 2011, the fees that public companies and other issuers pay to register their securities with the Commission will be reduced to $114.60 per million dollars from their current rate of $116.10 per million dollars.

Market Transparency – Does It Prevent Crisis? - Steven Maijoor, ESMA Chair, FMA Supervision Conference, Vienna, 29 September 2011

Date 29/09/2011

Ladies and Gentlemen,

Good morning. It is my great pleasure to be here today at this important conference and I thank the AustrianFinancial Market Authority for their kind invitation.

UK's Financial Services Authority Fines Towry Investment Management Ltd £494,000 For Providing Incorrect Information To The FSA And Client Money Failures

Date 29/09/2011

The Financial Services Authority (FSA) has fined Towry Investment Management Limited (Towry) £494,000 for providing misleading information to the FSA and for client money breaches.

HKMEx To Open In Two Hours

Date 29/09/2011

The Hong Kong Observatory has lowered its Typhoon Signal No. 8. Trading on the Hong Kong Mercantile Exchange (‘HKMEx’) will open two hours following the time the signal was lowered, at 6:20pm.

TABB Releases Report On OTC Clearing Technology - Huge Demands For Technology Upgrades As Global Regulators Focus On The Clearing Of OTC Derivatives

Date 29/09/2011

TABB Group has released a report on the challenges caused by OTC derivatives reforms which, according to TABB principal Kevin McPartland, “are causing headaches all over Wall Street, the City and beyond”.