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FINRA fines Corinthian for allowing CEO and CCO to supervise their own trading

Maria Nikolova Corinthian Partners, featured, FINRA 0 Comments January 13, 2023

Corinthian allowed the CEO and CCO to supervise their own trading in accounts they jointly managed.

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Hargreaves Lansdown announces results of AGM
December 8, 2023
TradingView adds crypto data from Pionex
December 8, 2023
UK regulator warns against crypto exchange LYKKE
December 8, 2023
Bloomberg, MarketAxess and Tradeweb issue statement on JV agreement
December 8, 2023
FCA stops 1 in 5 new consumer investment firms who applied from entering market
December 8, 2023

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