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Tokyo Stock Exchange Imposes Penalty On Rakuten Securities, Inc.

Date 12/06/2009

The TSE imposed a fine of JPY 3 million on Rakuten Securities, Inc. (hereafter "Rakuten Securities" or "the company") as the company's management of the electronic information processing system relating to financial instruments business was deemed insufficient.
MAS Joins In Implementation Of The ASEAN And Plus Standards Scheme To Promote ASEAN Capital Markets

Date 12/06/2009

The Monetary Authority of Singapore (MAS) today announced the implementation of the ASEAN and Plus Standards Scheme (Scheme) for multi-jurisdiction offerings of securities in ASEAN.
December 31st Private Equity Valuations Not As Bad As Expected - Average PE Fund’s NAV Declines 17% in 2008: Bad, But Better Than Feared, And Ahead Of Other Asset Classes

Date 12/06/2009

Private Equity has a long history of out-performing most other asset classes, delivering superior returns to LPs for many years.
Tokyo Stock Exchange Imposes Penalty On Monex, Inc.

Date 12/06/2009

The TSE imposed a fine of JPY 3 million on Monex, Inc. (hereafter "Monex" or "the company") as the company's management of the electronic information processing system relating to financial instruments business was deemed insufficient.
Osaka Securities Exchange: Establishment Of Remote Transaction Participant System

Date 12/06/2009

Osaka Securities Exchange Co., Ltd. (hereinafter referred to as “OSE”) will establish a Remote Transaction Participant System which allows Foreign Securities Brokers to access directly to the OSE markets as Transaction Participants without having a branch office, etc. in Japan, in order to further increase liquidity of the OSE markets and to improve efficiency in pricing and the competitiveness of the OSE markets in the world.

SEC And ASC Charge Alabama Broker-Dealer For Rampant Churning And Extensive Supervisory Violations

Date 12/06/2009

The Securities and Exchange Commission and the Alabama Securities Commission (ASC) have charged a Birmingham, Ala.-based broker-dealer in connection with rampant churning of customer accounts, widespread supervisory failures, and other securities violations that resulted in significant harm to clients and substantial profit to the firm. Also charged by the SEC and ASC were several of the firm's senior officers and registered representatives. Churning is a fraudulent practice that occurs when a b
Japan's Financial Services Agency: Business Accounting Council (Planning And Coordination Committee) Agrees On “Application of International Financial Reporting Standards (IFRS) In Japan (Interim Report)”

Date 12/06/2009

On June 11, 2009, the Planning and Coordination Committee (the Committee) of the Business Accounting Council (BAC) held a meeting on the application of IFRS in Japan. At the meeting, the Committee agreed upon “Application of International Financial Reporting Standards (IFRS) in Japan (Interim Report)”.
HKEx Report On Review Of Financial Reports Published by Listed Issuers

Date 12/06/2009

The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), today (Friday) published a report summarising key observations and findings from its review of 100 financial reports released by listed issuers in 2007 and 2008. The report is available under the Regulatory Framework a
MCX Commodity Exchange Weekly Market Report - June 06-June 11, 2009

Date 12/06/2009

Click here to download MCX Commodity Exchange's weekly market report.
NASDAQ OMX Announces Timeline For Competitive Central Counterparty Clearing In Nordics - EMCF, EuroCCP And SIX x-clear Agree On January 29th 2010 Timeline For CCP Interoperability On NASDAQ OMX Nordic Markets

Date 12/06/2009

NASDAQ OMX Nordic, part of The NASDAQ OMX Group, Inc. (Nasdaq:NDAQ), today announces that its central counterparty clearing (CCP) service partners EMCF, EuroCCP and SIX x-clear have agreed to achieve interoperability by January 29th 2010. Interoperability between the CCP parties allows members at NASDAQ OMX Nordic exchanges to interact with mult