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UK’s Financial Services Authority Fines Bank Of Ireland £375,000 For Breaches Of Anti-Money Laundering Requirements

Date 02/09/2004

The Financial Services Authority (FSA) has today fined the Bank of Ireland (BoI) £375,000 for failing to have in place systems to detect a series of high-risk, cash transactions worth approximately £2 million, which were undertaken in breach of their policies and procedures. These transactions appear to be suspicious and are currently being investigated by law enforcement.
UK’s Financial Services Authority Bans David M Aaron Ltd For Widespread Mis-Selling Of Precipice Bonds

Date 02/09/2004

The Financial Services Authority (FSA) has banned David M Aaron (Personal Financial Planners) Ltd for the widespread mis-selling of precipice bonds to nearly 8,000 customers. This is the first time the FSA has banned a firm for mis-selling.
Skandia Fined For Breach Of Stockholm Stock Exchange’s Listing Agreement

Date 02/09/2004

The Disciplinary Committee established that Skandia should pay a fine of two annual fees, making a total of SEK 2,670,296.
Program Trading Averaged 50.7 Percent Of NYSE Volume During Aug. 23-27

Date 02/09/2004

The New York Stock Exchange today released its weekly program-trading data submitted by its member firms. The report includes trading in all markets as reported to the NYSE for Aug. 23-27.
NASDAQ To Present At The China International Fair For Investment & Trade In Xiamen

Date 02/09/2004

The NASDAQ Stock Market, Inc. (“NASDAQ®”) will present at the 2004 Capital Forum, one of the highlights of the China International Fair for Investment & Trade (CIFIT). This year's Forum, to be held on September 7, entitled “Summit of Securities Markets and SMEs Financing Innovation,” features securities experts and speakers from stock exchanges in China and abroad.

Nasdaq ETFs Added To Invest n Retire’s 401(k) Plans

Date 02/09/2004

The Nasdaq Stock Market, Inc. (“NASDAQ®”; OTCBB: NDAQ) and Invest n Retire, LLC, an internet-based 401(k) service provider, today announced that exchange traded funds (ETFs) listed on NASDAQ and based on NASDAQ indexes have been added as investment products in Invest n Retire's 401(k) platform and model portfolios. This is the first time that a 401(k) administrator has made NASDAQ ETFs available to investors through its retirement funds.
NASD Investor Alert: Protecting Against Online Identity Theft

Date 02/09/2004

NASD today issued an Investor Alert outlining ways investors can protect themselves from online identity theft.
Minneapolis Grain Exchange Announces Fiscal Year Volume Record

Date 02/09/2004

The Minneapolis Grain Exchange announced today that it has established a new fiscal year trading volume record. Trading volume totaled 1,377,519 contracts for the 2003-2004 fiscal year, which ended August 31. The previous record was set in 1999 when 1,237,813 contracts traded.
Joost van der Does de Willebois To Be Appointed Member Of Euronext NV’s Managing Board

Date 02/09/2004

The Supervisory Board of Euronext NV intends to appoint Joost van der Does de Willebois as member of the Managing Board of Euronext N.V. As member of the Managing Board he will have overall responsibility for Finance, Euronext Amsterdam and Euronext’s relationship with the Dutch financial community. In addition, he will have some specific marketing responsibilities for the Cash Market of Euronext (*). Having worked at various executive positions within ING and Shell, Joost van der Does de Willeb
Instinet Japan Appoints New President

Date 02/09/2004

Instinet Japan Limited, the Unconflicted Institutional Broker, an indirect subsidiary of Instinet Group Incorporated (Nasdaq:INGP), today announced that it has appointed Mr. Takeshi Murakami as President and Tokyo Branch Manager.