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Markit BOAT™ - Equity Trading Highlights
Date 20/03/2009
Markit BOAT is a trade reporting platform which consolidates pan-European cash equity trade data from MTFs, Dark Pools and OTC transactions. The trading activity in this report took place on 19th March 2009 and was published by Markit BOAT on the same day.
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HKEx Confirms Suspension Of Securities Market's CAS From 23 March
Date 20/03/2009
Hong Kong Exchanges and Clearing Limited (HKEx) confirms that the suspension of the Closing Auction Session (CAS) in its securities market will take effect from next Monday, 23 March 2009, following the successful completion of the market rehearsal last Saturday and the approval of necessary rule amendments by the Securities and Futures Commission.
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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
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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.
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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
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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.
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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.
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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.
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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.
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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.
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