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Japan's Financial Services Agency: Administrative Action On RBS Securities Japan Limited

Date 26/01/2010

The Securities and Exchange Surveillance Commission (“SESC”) conducted an inspection on RBS Securities Japan Limited (hereinafter referred to as “RBS Securities”), and found the following violation of the Financial Instruments and Exchange Act (hereinafter referred to as “the FIEA”). On January 19, 2010, the SESC recommended to take administrative action on RBS Securities.<
UK's Financial Services Authority Approves Xtrakter For The Regulatory Reporting Of Derivatives

Date 26/01/2010

Xtrakter, the market utility, is pleased to announce that the Financial Services Authority (FSA) of the United Kingdom has approved it to regulatory report exchange traded derivatives (ETD) using Alternative Instrument Identifiers (Aii).
Eurex Admits First Japanese Broker Via Singapore - Mizuho Securities (Singapore) Pte. Ltd. Connected Since Mid January 2010

Date 26/01/2010

The international derivatives exchange Eurex announced today that it admitted the first Japanese broker out of the Republic of Singapore. Mizuho Securities (Singapore) Pte. Ltd., a subsidiary of Mizuho Securities Co., Ltd. was connected on 18 January 2010 to the Singapore Access Point of Eurex.
Tokyo Commodity Exchange: Two First ETFs Investing In Japan's Commodity Market (TOCOM) To Be Listed In February

Date 26/01/2010

Tokyo Commodity Exchange, Inc. (“TOCOM” ) announced today that two Exchange Traded Funds (ETF), which invest directly in its gold futures contract and its platinum futures contract respectively, have been approved for listing on the Osaka Securities Exchange on February 15, 2010. These are the first Japanese ETFs which invest directly in the Japanese commodity futures market.
Standard & Poor's Announces Changes In The S&P/TSX Venture Composite Index

Date 25/01/2010

Standard & Poor's will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Monday, January 25, 2010: Navasota Resources Ltd. (TSXVN:NAV) will trade under the new name Anglo Aluminum Corp. and the new ticker symbol "ALU". There is no consolidation of capital. The new CUSIP number will be 034860 10 6.

CFTC Grants ICE Clear Europe Limited Registration As Derivatives Clearing Organization

Date 25/01/2010

The Commodity Futures Trading Commission issued an Order on Friday, January 22, 2010, granting ICE Clear Europe Limited (ICE Clear Europe) registration as a derivatives clearing organization (DCO) pursuant to Section 5b(b) of the Commodity Exchange Act. ICE Clear Europe is a private limited company organized under the laws of England and Wales. Pursuant to an order that the Commission issued on July 23, ICE Clear Europe has operated within the United States as a multilateral clearing organizatio
SIFMA Supports FDIC Move To Restart Securitization Markets

Date 25/01/2010

The Securities Industry and Financial Markets Association (SIFMA) today released the following statement from President and CEO Tim Ryan on reports that the Federal Deposit Insurance Corporation (FDIC) is working on a plan to package failed bank assets into securities in an attempt to restart the stalled securitization markets.
Shenzhen Stock Exchange Publicly Reprimands St Jinhua And Concerned Parties

Date 25/01/2010

The SZSE recently made the decision of disciplinary sanction, publicly reprimanding St Jinhua (Stock Code: 000818), its controlling shareholder Jinhua Group, its directors including Chen Shijie, Meng Jianhua, Wang Tieshan, CFO Li Xiaoguang due to serious violation of regulations and rules, including rules breaking guarantee and capital occupancy. Additionally, the SZSE imposed special treatment on St Jinhua, effective as of December 2, 2009, in accordance with the Paragraph 3.1 of Article 13
Alleged Minneapolis-Based Fraudster Trevor Cook Jailed For Failing To Surrender Assets In SEC Case

Date 25/01/2010

A federal judge today ordered Minneapolis-area resident Trevor G. Cook jailed for failing to surrender more than $35 million in assets as a result of the Securities and Exchange Commission's fraud charges and asset freeze against him.
FINRA Issues Guidance To Firms, Brokers On Communications With Public Through Social Networking Web Sites

Date 25/01/2010

The Financial Industry Regulatory Authority (FINRA) today issued guidance to securities firms and brokers regarding the use of social networking Web sites such as Facebook, Twitter, LinkedIn and blogs to communicate with the public.