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Japan's Financial Services Agency Publishes English Translations Of Regulation On Credit Rating Agencies

Date 31/03/2010

The Financial Services Agency (FSA) has been engaged in efforts to translate major relevant regulations on Credit Rating Agencies (CRAs). As a consequence, the FSA today publishes English translations of Financial Instruments and Exchange Act, Cabinet Office Ordinance on Definitions under Article 2 of the Financial Instruments and Exchange Act, and the Cabinet Office Ordinance on Financial Instruments Business, etc. related to regulation on CRAs, and the English translation of Guideline
Seven Charged In UK's Financial Services Authority Insider Dealing Investigation

Date 31/03/2010

The Financial Services Authority (FSA) today charged seven people with 13 charges in respect of conspiracy to deal on inside information obtained by the defendants from two major investment banks.
Seattle Broker Rhonda Breard Barred For Defrauding Clients, Converting Customer Funds To Personal Use - FINRA Finds Scheme Cost Breard's Clients At Least $8 Million

Date 31/03/2010

The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Kirkland, WA, broker Rhonda Lee Breard from the securities industry for defrauding at least 38 clients of at least $8 million through a scheme that involved converting client funds to her personal use while sending falsified account statements to her customers.
NYSE Euronext Appoints Cees Vermaas As Member Of The Managing Board Of Euronext N.V. And Chairman Of The Managing Board Of NYSE Euronext Amsterdam - Cees Vermaas To Succeed Joost Van Der Does De Willebois As Per 1 June 2010

Date 31/03/2010

NYSE Euronext (NYX) announced today that Cees Vermaas (45) will become the new chairman of the Managing Board of NYSE Euronext Amsterdam and member of the Managing Board of Euronext N.V., succeeding Joost van der Does de Willebois (51), who has decided to resign from the management of NYSE Euronext, effective 1 June 2010.
Statement From The London Metal Exchange Annual General Meeting

Date 31/03/2010

The Annual General Meeting took place at the London Metal Exchange today and all resolutions were passed. These included a resolution to approve a final dividend of 35p per ordinary (“A”) share to all shareholders on the register of members at the close of business on the 26th March 2010. This is due to be paid on Tuesday 27th April, 2010.

HKEx: Retail Participation In The Hong Kong Stock Market Remains High

Date 31/03/2010

A survey conducted by Hong Kong Exchanges and Clearing Limited (HKEx) during the period from 13 November to 23 December 20091 revealed that retail participation in the HKEx stock market remains high. Over one-third of the Hong Kong adult population are stock investors, ie individuals who invest in products on the HKEx securities (or stock) market. According to the survey, 35.1 per cent of the Hong Kong adults were retail investors, ie individuals who participate in the HKEx stock market or der
London Metal Exchange Announces Issuance Of First Cobalt Warrants

Date 31/03/2010

Warrants for 5 tonnes of cobalt were issued late last week in Rotterdam, marking the first material to be placed on warrant since the launch of new minor metals futures contracts by the London Metal Exchange (LME) in February this year.
HKEx: Report On Initial Public Offering Applications, Delisting And Suspensions, As At 31 March 2010

Date 31/03/2010

Main Board GEM Total
PLUS Stock Exchange Targets Investors And Private Client Brokers On Nationwide Roadshow - Briefings To Be Held In UK Cities To Demonstrate Offering For Retail Investors

Date 31/03/2010

The PLUS stock exchange is sponsoring a series of roadshow briefings across the UK, aimed at private investors, private client brokers and analysts. The events will showcase growth company investment opportunities on the exchange, and be held throughout the year in Manchester, Edinburgh, London, Leeds and Bristol.
HKEx: Precautionary Measures From Issuers Listed By Introduction

Date 31/03/2010

Hong Kong Exchanges and Clearing Limited (HKEx) has issued the following statement in response to media enquiries regarding precautionary measures adopted by issuers listed by introduction to ensure that their shares are traded on an orderly, informed and fair basis.