On July 22nd, FINRA CEO Robert Cook revealed that a sweep related to financial services influencers ‘is coming’. It eventually arrived in September, hot on the heels of the SEC requesting comment on the ‘digital engagement practices’ used by investment advisers and broker-dealers. The SEC was most interested in how tools are used that appeal to in...
07 January 2022 /regulation /people Trends in Financial Services
Kathleen MoraChief Operating Officer at International Merchant Services, Inc.
Shemina JiwaniChief Operating Officer at AscendantFX Capital Inc.
Emma AlleyChief Operating Officer at MoneyCorp
Sophie CondieChief Operating Officer at Shieldpay
Nkiru UwajeChief Operating Officer at MANSA
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