US: Broker fined $900,000 due to Supervisory Failures on Trade Recommendations www.findknowdo.com/news/08/13/2020/broker-dealer-fined-supervisory-failures-trade-recommendations?utm 0 Share this:Click to share on LinkedIn (Opens in new window)Click to share on WhatsApp (Opens in new window)Click to share on Twitter (Opens in new window)Click to share on Facebook (Opens in new window) October 19, 2020 webmaster Regulatory, US Regulatory, US Uganda: Constitutional Court limits application of 30% deposit for Tax Appeal Tribunal cases India: Pan Exemption for Non-Residents Investing in IFSC based AIFs