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3L3 Committees To Consult On Cross-Sector Internal Governance Issues

Date 18/12/2009

The 3 Level 3 Committees (3L3), CESR, CEBS and CEIOPS, publish today a call for evidence on cross-sector internal governance issues. The 3L3 Committees have conducted a stock take on and analysis of existing internal governance requirements applicable in the areas of banking, insurance and securities, and identified some areas for potential further harmonisation. The 3L3 Committees invite all interested parties to comment on the call for evidence by 9 April 2010.
TSX: Top 20 Largest Consolidated Short Position Report - December 15, 2009

Date 18/12/2009

Please find below the Top 20 Largest Consolidated Short Position Report Highlights. The report is produced twice monthly, effective the 15th and the end of each month. The report below covers the 2-week period ending December 15, 2009.
SEC Charges U.S. Subsidiary Of World's Largest Inter-Dealer Broker For Displaying Fictitious Trades And Misleading Customers - ICAP Securities USA LLC To Pay $25 Million To Settle SEC Findings

Date 18/12/2009

The Securities and Exchange Commission today charged a U.S. subsidiary of the world's largest inter-dealer broker, U.K.-based ICAP plc, with fraud for engaging in deceptive broking activity and making material misrepresentations to customers concerning its trading activities.
Market Cap Segment Review At NASDAQ OMX Nordic Exchanges

Date 18/12/2009

NASDAQ OMX reports that the semi-annual review of its Nordic market capitalization (market cap) segments has been completed. The revision is based on average market cap value in November 2009. Together with indexes and sector classifications, the market cap segmentation is a tool to increase visibility for companies listed on NASDAQ OMX Nordic exchanges in Copenhagen, Helsinki, Reykjavik and Stockholm. Effective January 4, 2010, the following four companies will change segment:
Japan's Financial Services Agency: Publication Of ''The Draft Blueprint For The Development Of Institutional Frameworks Pertaining To Financial And Capital Markets''

Date 18/12/2009

On December 17, 2009, the Financial Services Agency (FSA) published''the Draft Blueprint for the Development of Institutional Frameworks Pertaining to Financial and Capital Markets''.

Warren Bank AS New Member On Oslo Børs, Oslo Axess And Oslo ABM

Date 18/12/2009

The Norwegian bank, Warran Bank AS, will start direct trading in equities and bonds on Oslo Børs, Oslo Axess and Oslo ABM (Alternative Bond Market) from Monday 21 December.
Malawi Stock Exchange Weekly Report

Date 18/12/2009

Click here to download the Malawi Stock Exchange weekly report.
HKEx Publishes Consultation Conclusions On Proposals To Accelerate Rights Issues And Open Offers

Date 18/12/2009

Hong Kong Exchanges and Clearing Limited (HKEx) today (Friday) published its consultation conclusions on the proposals to accelerate rights issues and open offers.
Øivind Amundsen Appointed As Senior Vice President - Legal Affairs At Oslo Børs

Date 18/12/2009

Øivind Amundsen (42) has been appointed Senior Vice President – Legal Affairs at Oslo Børs. He is currently a partner in Advokatfirmaet Selmer DA, where he assists Norwegian and international clients in connection with securities transactions and issues related to stock exchange and securities law.
Agreement Reached Between SIX Exchange Regulation And ABB Ltd.

Date 18/12/2009

SIX Exchange Regulation has reached an agreement with ABB Ltd. in connection with a violation of the Listing Rules regarding interim financial reporting. As determined by SIX Exchange Regulation, ABB Ltd. violated the disclosure provisions under US GAAP in the company’s 30 June 2009 interim financial statements.