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FINRA Hearing Panel Fines Mutual Service Corp. More Than $1.5 Million For Supervisory Failures, Falsifying Records Relating To VA Exchanges - Panel Bars Three Individuals, Fines And Suspends Three Others

Date 19/03/2009

A Financial Industry Regulatory Authority (FINRA) hearing panel has fined Mutual Service Corporation (MSC) of West Palm Beach, FL, more than $1.5 million for failing to conduct timely reviews of variable annuity transactions, falsifying various books and records of the firm to make it appear that the variable annuity transactions were reviewed in a timely manner, and providing false and misleading information to FINRA during its investigation. The hearing panel sanctioned six current and former
Standard & Poor's Announces Changes In The S&P/TSX Canadian Indices

Date 19/03/2009

Standard & Poor's Canadian Index Operations announces the following index changes: The relative weight of AngloGold Ashanti Ltd. (NYSE:AU) will increase in the S&P/TSX Global Gold and Global Mining indices after the close of trading on Thursday, March 26, 2009, to reflect the removal of a control block of shares.
New York Attorney General Cuomo Announces Significant Development Related To AIG

Date 19/03/2009

I have received the list of AIG FP employees who received retention payouts. Mr. Liddy testified in Congress yesterday that he intended to comply with our subpoena and expressed concern for employee safety. Mr. Liddy has in fact now complied with the subpoena. We are aware of the security concerns of AIG employees, and we will be sensitive to those issues by doing a risk assessment before releasing any individual’s name. The Attorney General's Office is a law enforcement agency and is experience
Speech By SEC Chairman Mary L. Schapiro: Remarks At News Teleconference Announcing Enforcement Action Against Former N.Y. State Official And Top Political Advisor

Date 19/03/2009

Good afternoon. And thank you Attorney General [Andrew] Cuomo. This has been an excellent coordinated effort by our two agencies. We look forward to continuing to work closely together on this and other investigations.
Hedge Fund Standards Board Statement On The Turner Review

Date 19/03/2009

The Hedge Fund Standards Board (HFSB) welcomes the Turner Review on the regulatory response to the global banking crisis.

New York Attorney General Cuomo Announces Sweeping Indictment In Pay-To-Play Kickback Scheme At The New York State Comptroller’s Office - Defendants Hank Morris And David Loglisci Are Charged With 123 Counts, Including Enterprise Corruption And Martin Act

Date 19/03/2009

Attorney General Andrew M. Cuomo today announced the indictment of Henry (“Hank”) Morris and David Loglisci on 123 charges, including enterprise corruption, Martin Act securities fraud, grand larceny, bribery, money laundering, and related offenses. The charges were filed in a 128-page indictment filed in the New York State Supreme Court.
SEC Charges Former N.Y. State Official And Top Political Advisor For Defrauding New York's Retirement Fund In Multi-Million Dollar Kickback Scheme

Date 19/03/2009

The Securities and Exchange Commission today charged New York's former Deputy Comptroller and a top political advisor for extracting millions of dollars in kickbacks from investment management firms seeking to manage the assets of New York's largest pension fund.
Program Trading Averaged 30.8 Percent Of NYSE Volume During Mar. 9-13

Date 19/03/2009

The New York Stock Exchange, a subsidiary of NYSE Euronext (NYX), 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 Mar. 9-13.
Chicago Climate Futures Exchange Announces Record Volume For March 2009

Date 19/03/2009

Chicago Climate Futures Exchange® (CCFE®), a whollyowned subsidiary of Chicago Climate Exchange® (CCX®), announced record trading volume for March. CCFE has traded 60,676 contracts month-to-date as compared to the previous record of 56,429 contracts in the entire month of February 2009. This record month has been achieved in 13 trading days, with CCFE volumes recording an average of 4,667 contracts per day.
CME Group To Offer OTC Grain Swaps Through CME ClearPort - DTN To Provide Cash Settlement Prices For New Agriculture OTC Products

Date 19/03/2009

CME Group, the world's largest and most diverse derivatives exchange, announced that the Commodity Futures Trading Commission (CFTC) has given regulatory approval to clear corn basis swaps and calendar swaps for corn, wheat and soybeans. The swaps, which will be subject to comparable rules and regulations for listed corn, wheat and soybean futures contracts on the CBOT, are scheduled to be available begi