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.