Corporate governance

While some industry employees are eager for the normalcy of their offices, others are more reluctant as experts predict another rise in virus cases.

That decision was “heavily debated” and so far the company has found that its operations have fared well with remote work, Jose Minaya said at a conference.

Several companies said this week they’re slashing expenses as the economy limps along. Others would prefer to keep investing in new technologies to better gauge which changes in consumer behavior will stick.

The company's outgoing CFO discussed ways the asset cap is stunting growth, but provided no updates at an industry conference on when the restriction might be lifted or the types of jobs it will cut.

Funds focused on the sector lost more than $2.4 billion in August, the most since 2016.

Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic

Focusing on “investment in leadership and access to markets,” the IBD aims to support reps and clients of diverse backgrounds, its head recruiter says.

The father-son practice with two other advisors switched their affiliations after its founder had spent 18 years with New York Life.

During Andy Kalbaugh’s tenure with the No. 1 IBD, its headcount grew by more than 50% to nearly 17,000 reps.

The executive shuffle at the company continues as Credit Suisse America’s Paula Dominick is hired to replace Mike Roemer as chief compliance officer. It also hired or promoted four line-of-business chief risk officers and an enterprise testing leader.