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HKEx, S&P Sign Agreement On New Index Series

Date 18/07/2002

Hong Kong Exchanges and Clearing Limited (HKEx), the publicly listed holding company of the Stock Exchange of Hong Kong which operates the tenth largest international stock market in the world in terms of market capitalization and the second largest in Asia, and Standard & Poor's, a global leader in financial information and investment analysis, have signed an agreement providing for the creation of a new series of equity indices covering stocks listed on HKEx's stock exchange, the two firms ann
Habsburg Holdings Ltd. Annual Report 2001 Has Been Filed With The SWX Swiss Exchange

Date 18/07/2002

Habsburg Holdings Ltd. has filed its annual report 2001 with the SWX and satisfactorily demonstrated that it has made the report available to the public.
Federal Reserve And SEC Jointly Announce Administrative Actions Against The PNC Financial Services Group, Inc.

Date 18/07/2002

The Board of Governors of the Federal Reserve System and the U.S. Securities and Exchange Commission on Thursday jointly announced the issuance of administrative actions addressing bank supervisory and securities law-related matters against The PNC Financial Services Group, Inc., Pittsburgh, Pennsylvania, a bank holding company.
Borsa Italiana Spa: New Measures On Insider Dealing Went Into Effect On The 15th Of July 2002

Date 18/07/2002

On Monday, 15th of July 2002 Borsa Italiana introduced its new policy on insider dealing, aimed at heightening the transparency of the transactions made by managers and other "relevant persons" on shares of their listed companies or its subsidiaries.
Treasury And Federal Financial Regulators Issue Patriot Act Regulations On Customer Identification

Date 17/07/2002

The Department of the Treasury and seven federal financial regulators today issued proposed rules that would require certain financial institutions to establish minimum procedures for identifying and verifying the identity of customers seeking to open new financial accounts. Written comments on the proposed rules may be submitted within 45 days of their publication in the Federal Register, which is expected to occur later this week.

Stock Exchange of Thailand Welcomes Three New Members Of The Board: With The Readiness To Strengthen Its Role In The Thai Capital Markets

Date 17/07/2002

The SEC Board has passed a resolution to elect a number of distinguished representatives to the SET Board of Governors on 12 July 2002, namely Dr. Olarn Chaipravat, representing the Finance and Banking Sector, Mrs. Wiwan Tharahirunchote, representing investor groups, and Mr. Apirak Kosayodhin, representing listed companies. They will replace Mr. Penwan Thongdeetae, Mr. Machima Kunjara Na Ayudhya, and Mrs. Dayana Bunnag, whose terms have expired. The three new members will be in office from July
Statement By ASX CEO And MD, Richard Humphry

Date 17/07/2002

"Australia's market has held up very well in recent months, and continues to perform better than many other markets - largely due to the strength of market supervision and associated regulatory structures, and of course the strength of the domestic economy.
SEC Proposes Changes In Investment Adviser Custody Rules - Adopts Changes In Fund Merger Regulations - Proposes Exemptions For Standardized Options- Adopts Changes To Privacy Act Systems Of Records

Date 17/07/2002

The Commission today proposed changes to Rule 206(4)-2, the custody rule under the Investment Advisers Act, to enhance protections afforded to advisory clients' assets, harmonize the rule with current custodial practices, and clarify when advisers have custody. SEC regulations concerning mergers of affiliated investment companies were changed to permit a greater range of fund mergers that are consistent with the protection of fund investors. The Commission also proposed exemptions for standardiz
PricewaterhouseCoopers Settles SEC Auditor Independence Case - PWC And Its Broker-Dealer Affiliate to Pay A Total of $5 Million - Avon Settles SEC Enforcement Action, Agrees To Restate

Date 17/07/2002

The Securities and Exchange Commission today announced a settled enforcement action against PricewaterhouseCoopers LLP (PwC) and its broker-dealer affiliate, PricewaterhouseCoopers Securities LLC (PwCS), for violations of the auditor independence rules. The auditor independence violations span a five-year period from 1996 to 2001 and arise from (1) PwC's use of prohibited contingent fee arrangements with 14 different audit clients for which PwCS provided investment banking services, and (2) PwC'
PEX Fund Buys 50 Pacific Exchange Seats

Date 17/07/2002

PEX Fund, LP, a newly formed partnership, on July 15 purchased 50 seats on the Pacific Exchange from a single seller. The seats were bought for $18,700 each.