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FINRA Fines Wachovia Securities $1.4 Million For Prospectus Delivery Failures, Related Supervisory Violations - Firm Also Fined For Failing To Have Adequate Supervisory System To Monitor Submission Of Information To FINRA

Date 25/06/2009

The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wachovia Securities, LLC of St. Louis $1.4 million for its failure to deliver prospectuses and product descriptions to customers who purchased various investment products from July 2003 through December 2004 and for related supervisory failures.
SIFMA’s Asset Management Group Supports Proposed Retention Requirements

Date 25/06/2009

The Asset Management Group (AMG) of the Securities Industry and Financial Markets Association (SIFMA) today issued the following statement on the proposed retention requirements in the Obama Administration’s regulatory reform proposal:
U.S. Federal Reserve Chairman Ben S. Bernanke: Acquisition Of Merrill Lynch By Bank Of America - Before The Committee On Oversight And Government Reform, U.S. House Of Representatives, Washington, D.C., June 25, 2009

Date 25/06/2009

Chairman Towns, Ranking Member Issa, and other members of the Committee, I appreciate the opportunity to discuss the Federal Reserve's role in the acquisition by the Bank of America Corporation of Merrill Lynch & Co., Inc. I believe that the Federal Reserve acted with the highest integrity throughout its discussions with Bank of America regarding that company's acquisition of Merrill Lynch. I will attempt in this testimony to respond to some of the questions that have been raised.
Standard & Poor's Launches S&P/TSX Global Base Metals Index

Date 25/06/2009

Standard & Poor's, the world's leading index provider, announced today the launch of the S&P/TSX Global Base Metals Index. The S&P/TSX Global Base Metals Index is designed to provide investors with an investable index of global securities involved in the production or extraction of base metals.
SII Response To FSA Consultation Paper Published Today On The RetailDistribution Review (RDR)

Date 25/06/2009

The SII supports this important paper from the FSA and endorses the main recommendations to improve professionalism across the sector. This consultation paper clearly states the intention to raise standards of mandatory examinations across the retail sector, to introduce and measure mandatory Continuing Professional Development and to introduce an industry wide Code of Ethics, which has significant areas of commonality with the SII's own Code.

Tokyo Stock Exchange: Daily Reporting Of TOPIX On The CCTV Economic Channel Begins

Date 25/06/2009

As of April 1, 2009, TOPIX (Tokyo Stock Price Index), began to be reported daily on the program of CCTV* Economic Channel (CCTV2), "Securities Hours (**)" on every day TSE conducts trading.
CESR Publishes A Comment Letter To The IASB, Regarding IFRIC Tentative Agenda Decision On IAS 39 “Significant Or Prolonged”

Date 25/06/2009

Please click here to view the document.
BME To Head The World Federation Of Exchanges' Regulation Committee - It Represents 51 Stock Exchanges On Which Over 46,000 Companies Are Listed

Date 25/06/2009

The World Federation of Exchanges’ (WFE) Regulation Committee will be headed by Bolsas y Mercados Españoles (BME) as of July, as the debate on financial regulation reform takes centre stage at an international level.
UK’s Financial Services Authority Details The Enhanced Standards People Can Expect From All Investment Advisers

Date 25/06/2009

The Financial Services Authority (FSA) has today published proposals to build people’s trust and confidence in the retail investment market.
2008 Report On Share Ownership In Spain: Retail Investors Hold To Their Equity Investments, Accounting For 20.2% Of Total Share Ownership - The Financial Sector Reduces Its Weight And Foreign Investors Increase Theirs

Date 25/06/2009

The participation of retail investors (households) as owners of shares listed on the Spanish stock exchange in 2008 slightly increased by 1% in 2008 for the previous year to 20.2%, according to the 2008 Report on share ownership in Spain, published today by BME’s Research Department.