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UK's Financial Services Authority Acts Against Former Credit Suisse Financial Products Senior Managers

Date 13/11/2003

The Financial Services Authority (FSA) has fined a former chief executive officer (CEO) £150,000 for failing to detect or prevent attempts to mislead the Japanese tax authority in 1996-7. In addition, it has banned two individuals for their share of responsibility in attempts to mislead the Japanese tax or regulatory authorities in 1996-8.
Sydney Futures Exchange Electricity Futures Volumes Charging Ahead

Date 13/11/2003

Fourteen months after their initial listing, trading volumes of the d-cypha SFE Australian Electricity Futures contracts on the Sydney Futures Exchange (a wholly owned subsidiary of SFE Corporation) were at record levels in October, reinforcing the success of the d-cyphaTrade electricity futures contracts.
Statement By New York Attorney General Eliot Spitzer Regarding The Proposed Putnam Settlement

Date 13/11/2003

Today's agreement between the SEC and Putnam provides some preliminary measures to address the issues raised in the actions filed against Putnam.
Standard & Poor's To Take Over Smith Barney's Global Equity Indices - With Addition Of Benchmark Series, S&P Emerges As Leading Full-Service Index Provider

Date 13/11/2003

Standard & Poor's, the leading provider of independent investment research, indices and ratings, today announced that it has entered into an agreement with Citigroup to transition over Smith Barney's global benchmark index business (formerly known as the SSB Global Equity Index System) to Standard & Poor's Index Services. The indices, now to be known as the S&P/Citigroup Global Equity Indices, add significant capabilities to Standard & Poor's position as the world's leading index provider, stren
Standard & Poor's Announces Changes In S&P/TSX Canadian Indices

Date 13/11/2003

Standard & Poor's Canadian Index Operations announces the following index change effective after the close of business on Friday, November 14, 2003: The relative weight of ARC Energy Trust (TSX:AET.UN - GICS 10102020 Oil & Gas Exploration & Production) will increase by approximately 0.45% in the S&P/TSX Capped Income Trust Index and by 0.86% in the S&P/TSX Capped Energy Trust Index. The relative weight change reflects an adjustment to the float capitalization of the trust due to the issuan

SEC Charges Former CEO, CFO, And Controller Of Gateway, Inc. With Fraud - Gateway Agrees To Issuance Of A Cease-And-Desist Order

Date 13/11/2003

The Securities and Exchange Commission announced today the filing of fraud charges against the former chief executive officer, chief financial officer, and controller of San Diego-based Gateway, Inc., for engaging in a fraudulent earnings manipulation scheme to meet Wall Street analysts' expectations, and for making false statements and concealing from the investing public important information about the success of Gateway's personal computer (PC) business, in the second and third quarters of 20
Putnam Agrees To Make Restitution And Implement Immediate, Significant Structural Reforms In Partial Resolution Of SEC Enforcement Action

Date 13/11/2003

The Securities and Exchange Commission today announced that Putnam Investment Management LLC (Putnam), a registered investment adviser located in Boston, Mass., agreed to the entry of an order in the Commission's administrative proceeding relating to alleged market-timing trades by certain of Putnam's employees. In the Order, Putnam has agreed to undertake significant and far-reaching corporate governance, compliance, and ethics reforms. Putnam has also agreed to a process for calculating and pa
Program Trading Averaged 41.3 Percent Of NYSE Volume During Nov. 3-7

Date 13/11/2003

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 Nov. 3-7.
NZAX Opening

Date 13/11/2003

The NZAX Market is opening for trading tomorrow at 11am.
Introduction Of NDS Group Plc On The First Market Of Euronext Brussels

Date 13/11/2003

Today 11,983,681 existing class "A"ordinary shares under the form of ADS (American Depository Shares) of the company NDS Group Plc, a company under UK law, were admitted on the continuous segment of Euronext Brussels. The capital of this company is also represented by 42,001,000 class "B" ordinary shares which represent 97% of the voting rights. At the present time, a total of 4,106,979 options to purchase class "A" ordinary shares have been granted. The "A" shares coming from the exercice of