FINRA Appoints Three New Governors to Board of Governors
FINRA, the Financial Industry Regulatory Authority, has appointed three new governors to its Board of Governors, bringing extensive expertise in audit, risk management, regulatory policy, and investing. Derrick Roman, a former partner at PricewaterhouseCoopers LLP (PwC), and Gus Sauter, a former Global Chief Investment Officer at Vanguard, have been appointed as public governors, while Naureen Hassan, President of UBS Americas and CEO of UBS Holdings, has been appointed as an industry governor. The new members are expected to consider the challenges and opportunities of the regulatory landscape ahead, reflecting FINRA’s commitment to maintaining effective self-regulation and ensuring appropriate governance to fulfill its mission of protecting investors and promoting market integrity.
Team of Advisors and Support Staff from RBC Capital Markets Joins Ameriprise Independent Channel
A team of advisors and support staff previously with RBC Capital Markets has joined the independent channel of Ameriprise. Pacific West Planning, led by private wealth advisor Ryan Sullivan, has made the move with more than $525 million in client…
Local Siblings with Genetic Disease Defy the Odds Thanks to Breakthrough Drug
Local Siblings with Genetic Disease Defy the Odds Thanks to Breakthrough Drug A heartwarming story of two siblings with a rare genetic disease defying the odds has captured the attention of many. Thanks to a breakthrough drug, these local siblings…