Former Schwab Exec To Head Finra's Exam Programs

In Finra’s announcement Wednesday, both Havlik and Cook mentioned the Finra360 initiative, an internal effort to evaluate operations and make regulatory programs more efficient.


Itaú Chile AM to hire new CIO and consolidate fund range

The resulting asset manager, operating as Itaú AGF, is looking to consolidate its product offering which currently features 49 mutual funds and five closed-end investment funds, said chief executive Wagner Guida, effectively reducing its mutual fun


Beecher Carlson names new CEO, COO

Davis will oversee operational functions in the newly created COO role. He will also continue as president, casualty & property.


First National 1870 names new market president

She also previously owned a small business that provided strategic business consulting and business management services. She holds Series 7 and Series 66 securities and investment licenses.