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NASD Fines Citizens Bank Affiliate, CCO Investment Services Corp., $850,000 For Supervisory, Recordkeeping, Telemarketing, Other Violations - Firm Failed To Implement Procedures Relating To Variable Annuity Sales To Elderly

Date 16/10/2006

NASD announced today that it has fined CCO Investment Services Corp., a wholly-owned subsidiary of Citizens Bank of Rhode Island, a total of $850,000 for failing to establish, maintain and enforce a reasonably designed supervisory system and written procedures relating to a series of issues - including customer suitability reviews, telemarketing compliance, internal inspections, review of written correspondence, registration of offices, and review and approval of 529 Plan business.
UK's Financial Services Authority: Stress Testing Thematic Review

Date 16/10/2006

This letter, which is signed by David Strachan, was sent to chief executives of large firms supervised in the FSA's Retail Markets Business Unit. Large firms supervised in the FSA's Wholesale and Institutional Markets Business Unit were sent a similar letter signed by Thomas Huertas.
NYMEX To Host Russian Federation Deputy Minister Of Economic Development Preceding Launch Of Russian Oil Futures Contract

Date 16/10/2006

The New York Mercantile Exchange, Inc. announced today that it will host Kirill Androsov, the Russian Federation Deputy Minister of Economic Development, and his guests, to ring the ceremonial opening bell for the light sweet crude oil futures market on October 20.
Warsaw Stock Exchange Main Indices Set New Closing High

Date 16/10/2006

The Warsaw Stock Exchange WIG, all share index, closed at a new high of 47393,92 points. The previous closing high was 47280,43 on October 13, 2006.
Deutsche Börse: Statement Regarding European Consolidation

Date 16/10/2006

In light of Euronext´s recent statement, Deutsche Börse wants to clarify its position. As outlined on Friday, Deutsche Börse does not consider contributing its cash equities activities into a NYSE/Euronext group an option. Deutsche Börse continues to welcome the efforts made by the working group lead by Henri Lachmann towards a European exchange organization. As documented by the Letter of Intent signed on Friday between Deutsche Börse and Borsa Italiana, Deutsche Börse is actively pursuing t

Futures Contracts And Options Block Trades Available On The Warsaw Stock Exchange For Investors

Date 16/10/2006

Beginning from October 16, 2006, investors get the possibility of making futures contracts or options block trades. The block trade transactions shall be made outside the continuous trading system and the single-price auction system between 9:00 and 16:30 hours.
U.S. Commodity Futures Trading Commission’s Office Of International Affairs Presents International Symposium And Training Program On Regulation of Derivative Products, Markets, And Financial Intermediaries

Date 16/10/2006

The U.S. Commodity Futures Trading Commission’s (CFTC) Office of International Affairs, in conjunction with the Federal Reserve Bank of Chicago, is hosting an annual meeting of international regulatory and market authorities to discuss issues relevant to the international derivatives markets. The meetings – to be held from October 16 through 20 – at the Federal Reserve Bank, are expected to draw over 70 participants and over 40 presenters and panelists from 27 countries, including: Australia, Ca
John Dugan Named Associate District Administrator For Enforcement In The SEC's Boston District Office

Date 16/10/2006

The Securities and Exchange Commission today announced the appointment of John T. Dugan as Associate District Administrator for Enforcement in the Commission's Boston District Office (BDO). In this position, Dugan will oversee the Commission's enforcement program in the New England area. Dugan succeeds David Bergers, who became the District Administrator of the BDO in April 2006.
CBOT Top Daily Volume & Open Interest Records For Friday, October 13

Date 16/10/2006

Agricultural Options Volume Record (Combined) New Record: 242,189 Date: October 13, 2006 Old Record: 172,150 Date: October 12, 2006 Agricultural Options Volume Record (Open Auction) New Record: 242,034 Date: October 13, 2006 Old Record: 171,837 Date: October 12, 2006 Corn Options Volume Record (Combined) New Record: 163,16
JSE Equities Market Weekly Statistics For The Week Ended 13 October 2006

Date 16/10/2006

Attached is the weekly report of certain trading statistics. It must be noted that the statistics relevant to foreign transactions only represent transactions executed through the JSE Equities Market.