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National Planning Appoints New Vice President Of Due Diligence

IBR Staff Writer Published 31 December 2009

To manage team of analysts facilitating the due diligence process for all product types across the NPH network

National Planning Holdings (NPH), an independent broker-dealer networks, has appointed Brian Sward as vice president of due diligence.

In his new role, Mr Sward will manage a team of analysts that facilitate the due diligence process for all product types across the NPH network. He will also continue to work with senior management from NPH and its four retail broker-dealers to control the risks associated with product selection and to monitor the products being offered by the network’s firms.

Previously, Mr Sward served as assistant vice president of due diligence where he was responsible for conducting due diligence and product support for NPH. He will continue to report to Gerry Gunderson, general counsel and senior vice president of regulatory affairs. Prior to joining NPH in 2005, Mr Sward served as an investment advisory analyst at JPMorgan.

Jim Livingston, president and CEO of NPH, said: “Due diligence is a critically important function for retail broker-dealers, particularly in the wake of the financial downturn. The focus shown by Brian and his team has allowed the NPH firms to position themselves more effectively against the myriad issues caused by recent economic conditions.”