Leading advisors and tech experts will answer questions on how to keep AI in regulatory check and demonstrate new tools to ramp up compliance and fraud oversight at Financial Planning’s quickly approaching ADVISE AI conference.
Archives for 2024
Weekend Reading For Financial Planners (September 21–September 22)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the news that the North American Securities Administrators Association (NASAA) released the latest edition its annual survey outlining the state of state-registered RIAs, showing that the number of state-registered firms and their assets declined slightly in 2023 (perhaps […]
Stonehage Fleming scoops 2 STEP Private Client awards
Stonehage Fleming’s advice team won two awards, including Financial Advisor Team of the Year, at the STEP 2024 Private Client Awards last night.
FSCS declares Staffs wealth manager as failed
The Financial Services Compensation Scheme, the consumer financial safety net service, has declared a wealth manager as failed, opening the door to clients to claim compensation.
Tax bills jump £8.9bn year on year
Latest HMRC figures out today reveal that the total government tax ‘take’ jumped £8.9bn year on year in the latest five month period.
How Payday Super works for small businesses
The Australian Tax Office and the Treasurer, Jim Chalmers, have released more details on the Payday Super scheme, which will take effect on July 1, 2026. The scheme was announced in the 2023-2024 Federal Budget and outlines that employers must pay their employees’ superannuation guarantee contributions alongside their regular salary and wages. This is quite […]
Kitces & Carl Ep 147: Preparing An Advisory Firm For The Risk Of A Market (And Revenue) Decline
Given the general trend of advisory firms charging on some percentage of assets under management, market growth can also be a strong indicator of advisory firm growth. For firms with revenue tied to portfolio performance, the additional income that can accompany a healthy market outlook allows firms to dedicate more resources to marketing and other […]
Cash ISAs rebound from pandemic lows
The number of cash ISAs increased 11% to 7.9m in the 2022/23 tax year but the number of Stocks and Shares ISAs fell, according to latest figures from HMRC.
Should advisors outsource asset management? Vendors weigh in
Leaders from Envestnet, J.P. Morgan Asset Management and Dimensional Fund Advisors discuss how technology has made it both easier and yet more challenging for advisors to manage portfolios on their own.
SEC approves sweeping overhaul of stock-trading rules
Large exchanges argue some of the changes could make it more costly for them to offer rebates to brokers in return for order flow.