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UK’s Financial Services Authority Fines Carr Sheppards Crosthwaite £500,000 For Compliance Failings

Date 20/05/2004

The Financial Services Authority (FSA) today fined Carr Sheppards Crosthwaite (CSC) Limited £500,000 for serious failings in its compliance function, leading to breaches of the FSA Principles and Rules. The failings arose because CSC failed to keep fully up to date with regulatory developments after the creation of the FSA. Most of the failings were identified by the FSA during the course of visits in July and August 2003.
TSX Group CEO Barbara Stymiest Remarks to Vancouver Financial Executives International Event

Date 20/05/2004

Thank you, Tom (Webster, FEI Vancouver President), and good afternoon everyone.
SEC: Strong Capital Management And Founder Richard Strong Agree To Pay $140 Million To Settle Fraud Charges Concerning Undisclosed Mutual Fund Trading - Richard Strong And Two Executives Permanently Barred From Mutual Fund Industry

Date 20/05/2004

The Securities and Exchange Commission announced today a settled enforcement action against Strong Capital Management, Inc. (SCM), its founder and majority owner, Richard S. Strong, two affiliated entities and two other SCM executives, for allowing and, in the case of Strong, engaging in undisclosed frequent trading in Strong mutual funds in violation of their fiduciary duties to the Strong funds and their investors. The settled order requires the payment of more that $140 million in monetary re
S&P Emerging Markets Database Index Announcement

Date 20/05/2004

South Africa- Comparex Holdings Ltd. Spin-Off
S&P Emerging Markets Database Index Announcement

Date 20/05/2004

Slovakia: Removal of Slovakofarma – Bearer from Index Coverage (Eff. 05/21/2004)

Program Trading Averaged 50.5 Percent Of NYSE Volume During May 10-14

Date 20/05/2004

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 May 10-14.
Nymex To Increase Margins For Natural Gas Futures, Swap Futures, And e-miNY(sm) Futures Contracts

Date 20/05/2004

The New York Stock Exchange today reported short interest as of the close of business on the settlement date of May 14, 2004 reflecting transactions through May 11.
New York, Wisconsin Settle "Market Timing" Allegations With Strong Capital Management And Its Founder

Date 20/05/2004

New York Attorney General Eliot Spitzer and Wisconsin Attorney General Peg Lautenschlager today announced a $175 million settlement with a leading mutual fund company, its founder and other employees and entities to resolve allegations of unlawful trading of mutual funds.
New York Stock Exchange Issues Monthly Short Interest Report

Date 20/05/2004

The New York Stock Exchange today reported short interest as of the close of business on the settlement date of May 14, 2004 reflecting transactions through May 11.
New Sale & Purchase Vessel Derivative Advisory Group Formed

Date 20/05/2004

A new independent advisory group has been formed to enhance the emerging market for vessel asset derivatives.