An industry survey of 200 compliance officers showed that a mere 12% of respondents currently using AI said they also adopted an AI risk management framework; experts said advisory firms need an AI governance plan ASAP.

Cinda Collins alleged before a FINRA arbitration panel that RBC fired her in late 2019 in an attempt to “steal much of her book of business without compensating her for it.”

The FCA has issued a warning notice that it is preparing to take action against high profile fund manager Crispin Odey for demonstrating a “lack of integrity.”

  The five winners of Financial Planning Today’s Financial Planning Profession Survey Prize Draw have been announced.

Investment platform and wealth manager 7IM has today struck a deal to acquire £2bn AUM MPS provider Rockhold Asset Management from national adviser firm ASHL.

  A former Pensions Minister and retirement expert has attacked the government’s Budget day decision to include pensions and pension death benefits within estates for inheritance tax (IHT) purposes.

According to Financial Planning’s research, most registered Republicans polled seem to have aligned their personal and business interests, while registered Democrats were nearly evenly split.

  From April 2027 inherited pension pots will be subject to inheritance tax (IHT), Chancellor Rachel Reeves announced today in her Budget.

Hundreds of new tech offerings have entered the wealth management landscape the past five years, challenging the capabilities of traditional CRM systems. Is it time for advisors to rethink their CRMs?

The Financial Services Compensation Scheme today declared former national IFA, pensions and employee benefits firm LEBC Group Ltd (FRN: 760755) in default after receiving 218 claims against the firm.