Breakout Sessions C

#1 - As part of your growth initiatives, transitioning new advisors can possess a regulatory challenge for firms. Transitions comes with a number of pitfalls. Highlight half a dozen concerns that you have with transitions. Next, build out an ideal transition solution from a compliance perspective. Weave in how the advisor can be better prepared without violating RegSP. As well, how does the data move across most effectively? What support vehicles are available to advisors that decide to join your firm; marketing and communication, data cleanup, and any other items of note. 

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#2 - The vision of AI is unlimited. However, AI comes with many potential pitfalls, as well. Buildout an AI Security Policy Framework that your firm, and your chosen third party vendors need to adhere. Start with your Top 6, and feel free to go beyond.