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Disciplinary Committee At OMX Nordic Exchange Stockholm Fines Carnegie Bank A/S

Date 17/10/2007

Carnegie Bank A/S has contravened the OMX Nordic Exchange Stockholm’s rules concerning trading in derivative instruments by having a broker place orders for derivative instruments with the sole intention of misleadingly affecting the price of another derivative instrument. Subsequently, the broker was able to implement transactions in the other instrument at a price that exceeded the price that would have applied had the orders not been placed. The OMX Nordic Exchange Stockholm’s Disciplinary Co
MiFID Connect To Address Post-Implementation Issues - The MiFID Connect Group Of The UK’s Major Financial Markets Trade Bodies Completes Its Objectives ……..And Will Go On To Address Post-Implementation Problems…

Date 17/10/2007

MiFID Connect was established by eleven trade bodies in January 2006 with the specific objective of assisting regulated firms to come into compliance with some of the more difficult requirements of MiFID. More particularly, the group set for itself the following targets: producing a MiFID Survival Guide; issuing industry guidance on key areas of implementation; holding periodic seminars; producing regular updates on MiFID-related issues.
BOAT Enhances Offering Prior To Launch

Date 17/10/2007

BOAT, the MiFID-compliant trade reporting platform, today announced an enhanced product offering.
HKFE Announces Revised Margins For Esprit Holdings Futures And PetroChina Futures Contracts

Date 17/10/2007

Hong Kong Futures Exchange Limited (HKFE), a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited (HKEx), has announced that with effect from the commencement of trading on Monday, 22 October 2007, the minimum margins to be collected by an Exchange Participant from its clients in respect of their dealings in the following futures contracts will be as outlined in the table below. The adjustments are based on the clearing company's normal procedures and standard margining method
Tokyo Stock Exchange: Programs To Strengthen The Compliance Division’s Self-Regulatory Functions: “R+”

Date 17/10/2007

The Tokyo Stock Exchange’s Compliance Division has formulated “R +” ahead of the launch of operations by the self-regulatory corporation Tokyo Stock Exchange Regulation in November 2007. Based on this program, the TSE will promote efforts for further strengthening our self-regulatory functions in the future.

OMX Signs Memorandum Of Understanding With Shenzhen Stock Exchange

Date 17/10/2007

The Memorandum of Understanding includes OMX and Shenzhen Stock Exchange cooperating through the exchange of information to develop the financial services industry in the Nordic and Baltic region and the People's Republic of China, respectively and to assist in the maintenance of well-functioning securities markets.
Establishment Of Tokyo Stock Exchange Regulation

Date 17/10/2007

Tokyo Stock Exchange Group, Inc. today established Tokyo Stock Exchange Regulation. This corporation is scheduled to begin operations on November 1st, 2007 contingent on the necessary authorization made by the appropriate government agency. On this day, a new organizational structure consisting of Tokyo Stock Exchange Regulation, Tokyo Stock Exchange Group, Inc., and Tokyo Stock Exchange, Inc. will formally be established.
FSA Awards Deutsche Börse “Trade Data Monitor” Status - MiFID OTC Post-Trade Transparency Service Meets FSA Requirements

Date 17/10/2007

The Deutsche Börse service which enables investment firms to ensure post-trade transparency for off-exchange equity transactions in accordance with MiFID, also meets the requirements of the British Financial Services Authority (FSA). The announcement was made by Deutsche Börse on Wednesday.
The SWX Swiss Exchange Initiates Investigation Against SCOR Holding (Switzerland) AG [Formerly Converium Holding AG]

Date 17/10/2007

The SWX Swiss Exchange has instituted an investigation against SCOR Holding (Switzerland) AG regarding a possible violation of Art. 72 of the Listing Rules and the Directive on Ad hoc Publicity. The preliminary investigation conducted by the SWX has revealed that the aforementioned rules may have been violated in connection with the nomination of the company’s new Management Committee. The duration of these investigative proceedings has not been determined. SWX will announce the ultimate re
Chi-X Europe Extends Trading Services To French Stocks

Date 17/10/2007

Chi-X(®) Europe Limited, a pan-European equity alternative trading system (ATS), today announced that it is successfully trading, clearing and settling the component stocks of the CAC 40.