It was found the firm violated Exchange Act 15(c) and Exchange Act Rule 15c3-3(b)(l) when it returned shares to customers and thereby created or increased segregation deficits
The establishment is designed to allow GLEIF to actively engage and directly collaborate with Indian LEI stakeholders and regulators at a localised level
The court of appeals rejected the short seller鈥檚 case due to insufficient allegations of securities fraud and market manipulation under the relevant securities laws
EU regulatory bodies have agreed to establish a governance structure to oversee and support the technical preparations for the future move to a shorter settlement cycle