Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with the news that amidst the impending return of Donald Trump to the White House, observers expect a lighter-touch regulatory environment for RIAs (and the financial services industry as a whole), with many regulations proposed (but not yet implemented) […]
Archives for 2024
Intelliflo adds estate planning integration
Cloud-based fintech and back office provider Intelliflo has stuck a deal with fellow fintech Estgro to add estate planning to its adviser-focused offering.
FCA releases Pensions Dashboard rules but no timetable
The FCA has published new rules firms must follow when designing and operating commercial Pensions Dashboards.
Claims manager stripped of regulatory permissions
The FCA has halted regulated business at Hull-based claims management firm (CMC) Prestige Legal Ltd (FRN 915619).
How can small businesses be productive and profitable during the holiday season?
As businesses prepare for the annual holiday, Aussies are spending less. ABS data shows a slowdown in household spending. Coupled with economic factors like high interest rates, sticky inflation, and the RBA’s rigid cash rate, small businesses will have to be smart moving into the new year. Nonetheless, November and December are still a time […]
Should advisors be wary of AI that makes novel investment decisions?
Michael Kitces recently warned advisors about AI developers who promise their decision-making algorithm can beat the market. Software providers disagree, arguing advisors will one day need such AI tools.
7 firms achieve Corporate Chartered status
Seven firms, including several Financial Planning firms, have achieved Corporate Chartered status with the Chartered Insurance Institute (CII) during September and October.
How high-touch advisors are reaching more clients with special needs
Advisors who specialize in working with neurodivergent clients are finding new technology has helped streamline communication and grow their client bases.
Business Licenses and Permits You Need to Stay Legal
“Do you have a permit for that?” If you want to operate your small company legally, you likely need some business licenses and permits. There are federal, state, and local licenses and permits you might have to apply for. It all depends on your business. So, do you know which types of business licenses and […]
Values, Purpose, Action: A 3-Part Approach To Establish A “Statement Of Financial Purpose” And Unlock Deeper, More Meaningful Planning Conversations With Clients
In the early days of financial planning, serving clients often meant developing transactional relationships focused on facilitating trades and selling insurance. Over time, advisors shifted toward more analytical approaches, such as investment management and retirement planning. Today, the industry has evolved further, with a growing emphasis on aligning financial decisions with clients’ personal priorities and […]