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Also, Advisor360 announces several client portal and platform updates and Modern Life debuts its generative AI chatbot, which the company claims has passed the life insurance licensing exam.
Caitlin Douglas, the head of transition services at Dynasty, details what advisors need to know about the supported independence model, tips on preparing for a move, key milestones and more.
In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.