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.

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.

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

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.

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.

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.

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 model they want to follow creates an exchange-traded fund as one of the share classes of a mutual fund, a move that ports the famous tax efficiency of the younger structure to the older vehicle.

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.

Co-founded by four Orion veterans, new wealthtech startup Hamachi.ai seeks to embed AI-powered compliance into client communications.

Francisco Gil tried to claim his status as an independent contractor entitled him to tax deductions for travel, meals and marketing expenses. The IRS and a federal judge said he was in fact an employee.

A government shutdown disrupts federal agencies and markets. Here's what advisors need to know to guide clients through the uncertainty.