Regulation and Compliance News from Financial Planning

An expert adviser explains the many considerations to take into account before deciding on this as an option for employees.

Speakers on an "AI & Compliance" panel at Financial Planning's ADVISE AI conference say advisors can use existing basic compliance principles to make sure their AI use doesn't step on any regulatory landmines.

A penny-ante approach to allocating digital assets may not be as risk-averse as it sounds.

The Swiss wealth management giant says many of its U.S. clients now "largely rely on other banks for their everyday banking needs."

The SEC hasn't put forward a new rule for advisors' use of AI since dropping a proposal earlier this year. Is the lack of regulation hindering innovation?

The challenge bedevils many heirs' property owners. Here's why experts say it's such a threat and how financial professionals can help guide families through it.

Industry compliance experts say there are few more complicated decisions than knowing when to leave a firm and start your own advisory practice. The government shutdown is making it worse.

Recent headlines may illuminate why this sector is particularly volatile, but advisors say they have been instructing clients that not all health care funds are created equal.

The One Big Beautiful Bill Act will boost the number of filers who must calculate their AMT. But that doesn't mean they're all going to have to pay it.

Starting next year, more households will need to calculate or pay the AMT. The rules are complicated. Here's how financial advisors can prepare themselves — and clients — for the changes.

New research from the National Council on Aging found that wealth plays a major role in longevity, a factor financial advisors say can dramatically alter retirement plans.

The expiration of premium tax credits for health insurance could lead to hundreds of thousands of job losses and billions in reductions to state revenues.

The fact that many financial advisors say they do not provide tax planning belies how much value they may add through that service, according to an expert.

Some financial advisors may still hesitate to get on LinkedIn, Facebook, Instagram, YouTube or TikTok. But experts say growing firms need to be on the social platforms.

Rev. Proc. 2025-32 from the Internal Revenue Service detailed a number of changes, including a rise in the standard deduction to $32,200 for married couples filing jointly.

Financial Planning's AI Readiness Survey found that advisors are already using AI for creating legal document summaries and seeing results, but legal experts warn that undisclosed, unmonitored use could open firms up to liability.

In this month's Financial Advisor Confidence Outlook, advisors' feelings about the overall economy and practice performance were up. That optimism could be fleeting.

Former Morgan Stanley broker Kathy Frazier sued the firm in 2015 and was later joined by six other Black plaintiffs who also alleged they had been systematically excluded from the best advisory teams and client leads.

The massive law filled in some important answers for financial advisors and tax pros' many questions coming into the year. Here's a roundup of FP's coverage.

Compliance and former SEC lawyers say remaining industry regulators will prioritize preventing imminent investor harm while putting off some paperwork and routine tasks.