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UK’s Financial Services Authority Appoints City Lawyer As New Director Of Enforcement

Date 27/04/2005

The Financial Services Authority (FSA) has appointed Margaret Cole, Partner in the London office of the international law firm White & Case, as its new Director of Enforcement.
Tokyo Grain Exchange Revised Margin Requirements For May, 2005

Date 27/04/2005

Click here to view Tokyo Grain Exchange’s revised margin requirements for May, 2005.
SWX Swiss Exchange Ad Hoc Publicity: Preliminary Enquiries Ggainst Julius Baer Suspended

Date 27/04/2005

On 23 January 2005, the SWX Swiss Exchange announced that it had instigated preliminary investigations into Julius Baer Holding AG ("Julius Baer") in connection with a possible breach of ad-hoc publicity regulations. The SWX has investigated whether Julius Baer infringed Art. 72 of the Listing Rules (LR) in connection with the promulgation of Michael P. Baer's resignation and the announcement of the launch of a single-share structure. In the course of these enquiries, the SWX concluded that Juli
Stock Exchange Of Thailand Board Approves Additional Listed Companies Rules

Date 27/04/2005

The SET Board of Governors has approved additional scheme on companies breaching the SET’s rules. An SP (“suspension”) sign will be posted immediately of any listed companies which haven’t submitted their financial statements within the designated time period. This will become effective starting with the Q1/2005 financial statement submission period. For listed companies having rumors around, that affect their stock price movement, the NP (notice pending) sign will be posted to their securities
Standard & Poor’s Announces Changes In The S&P/TSX Venture Composite Index

Date 27/04/2005

Standard & Poor’s will make the following changes in the S&P/TSX Venture Composite Index after the close of trading on Wednesday, April 27, 2005: StrataGold Corporation (TSXVN:SGV) will be removed from the index. The company will graduate to trade on the TSX under the same ticker symbol and CUSIP number 86270G 10 6.

SGX Co-Organises Corporate Governance Seminar In Mandarin

Date 27/04/2005

The Singapore Exchange Ltd (SGX), together with the Singapore Institute of Directors (SID) and the China Enterprises Association (Singapore) (CEA), organised the Mandarin seminar on "Understanding the Regulatory Environment in Singapore" for company directors and senior executives of listed companies and those seeking a listing. The seminar also received the support of the China embassy in Singapore.
Securities Industry Association Representative Urges U.S., EU Regulators To More Quickly Address Regulatory Inefficiencies, Duplication- SEC, CESR Should First Look To Institutional Side For Creating Regulatory Convergence

Date 27/04/2005

Speaking on behalf of the Securities Industry Association before the Transatlantic Financial Market Convergence Luxembourg Symposium, James Leigh-Pemberton, chairman of Credit Suisse First Boston’s European investment-banking division, highlighted two pressing issues facing both sides of the Atlantic. The event was co-sponsored by SIA.
Record Daily Volume For SFE Options

Date 27/04/2005

On April 22, 2005, Sydney Futures Exchange experienced record trading volumes for the Options based on its four major benchmark futures contracts. A total of 41,241 options were traded on both the day and night sessions, exceeding the previous record of 39,084 set on the 10th of June 1998. In addition to the record ‘total’ volume, a new record was also set in the Options over the Three Year Bond Futures with 24,500 options traded, up from 13,945 set on the 14 th January 2004. These represent the
NYBOT Announces New Cotton And FCOJ Margin Requirements

Date 27/04/2005

Click here to view the new margin requirements.
NASD Fines Raymond James $750,000 For Fee-Based Account Violations - Settlement Also Requires $138,000 In Restitution To Customers

Date 27/04/2005

NASD announced today that it has censured and fined Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. $750,000 for violations relating to the firms' fee-based brokerage business. The firms will also pay restitution totaling $138,000.