Elder fraud and off-channel communications to cash sweeps policies and 'AI-washing' were some of the biggest regulatory trends in wealth management in 2024.

Financial Planning Magazine

25.12.2024

Advisors, clients want to know where the gold is at in 2025 | Financial Planning

Gold has been reaching new heights, making it an interesting investment opportunity in 2025 as a hedge against volatility.

Financial Planning Magazine

25.12.2024

Should cryptocurrency have a role in retirement planning? | Financial Planning

Financial advisors debate whether clients should invest in cryptocurrencies like bitcoin as part of their retirement planning.

Financial Planning Magazine

25.12.2024

How to integrate a tax firm into an advisory practice | Financial Planning

For advisory firms adding CPA services, the 5 key areas wealth managers should focus on to ensure a successful acquisition and enhanced client service.

Financial Planning Magazine

24.12.2024

Senate passes Social Security Fairness Act | Financial Planning

The Senate has passed the Social Security Fairness Act, which repeals rules that cut benefits for public sector workers. But the debate continues over how it will be funded.

Financial Planning Magazine

24.12.2024

Expert predictions for wealthtech and financial planning in 2025 | Financial Planning

Wealthtech experts make predictions about what they expect in 2025 for AI, alternative assets, private markets and more.

Financial Planning Magazine

21.12.2024

Edward Jones, Osaic, Cambridge hit with $8.2M in restitution | Financial Planning

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

Financial Planning Magazine

21.12.2024

As elder fraud explodes, banks beat back duty to call cops | Financial Planning

As Congress remains gridlocked, state legislatures are writing laws that force banks to report scams to the police. But the banks are pushing back.

Financial Planning Magazine

21.12.2024

Using SEO to boost passive lead generation for advisors | Financial Planning

SEO and website design can help financial advisors find client prospects that are already looking for wealth management advice.

Financial Planning Magazine

21.12.2024

Raymond James recruits from Merrill in Advisor moves | Financial Planning

Cetera also names the next president of its wealth management division and Corient scoops up a $7.9 billion RIA in Maine.

Financial Planning Magazine

21.12.2024

What financial advisors should know about equity pay | Financial Planning

Independent firms are going beyond traditional wirehouse compensation packages to promote collective partnership and reward incoming teams.

Financial Planning Magazine

20.12.2024

Ask an advisor: Trump is coming. Should I buy crypto? | Financial Planning

An average investor asks financial advisors whether to buy cryptocurrency, now that Donald Trump's crypto-friendly administration is about to take power.

Financial Planning Magazine

20.12.2024

FINRA hits UBS with a $3.5M penalty | Financial Planning

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

Financial Planning Magazine

20.12.2024

Jefferies ousts wealth advisors over improper cash transfers | Financial Planning

Jefferies was among a group of firms cited by the SEC in its recent sweeping investigations into illegal "off channel" communications.

Financial Planning Magazine

20.12.2024

6 ways to keep your and your clients' tax data secure | Financial Planning

The IRS and its Security Summit partners shared a half-dozen ways to safeguard your firm and your clients during National Tax Security Awareness Week.

Financial Planning Magazine

20.12.2024

Sustainable investors expect sector growth, but not from them | Financial Planning

The "US SIF Foundation's Report on US Sustainable Investing Trends" report suggests growth in the sustainable investment market despite headwinds against ESG and like funds.

Financial Planning Magazine

19.12.2024

E-Trade plans zero-cost funds offered only to clients | Financial Planning

Morgan Stanley seeks approval for five cost-free funds to be offered exclusively to E-Trade clients.

Financial Planning Magazine

19.12.2024

Schwab sues ex-advisor for soliciting wealthy clients for RIA | Financial Planning

Charles Schwab is suing a former financial advisor accused of using confidential data on thousands of ultrawealthy clients to drum up business for his new employer.

Financial Planning Magazine

19.12.2024

New TIFIN Give feature allows for public DAF campaigns | Financial Planning

TIFIN GIVE is adding new functionality that allows for social sharing of DAF information, allowing clients to recruit friends and families to give to charitable organizations.

Financial Planning Magazine

19.12.2024

New book guides financial advisors on emotional intelligence | Financial Planning

A new book by James Woodfall and Cliff Lansley explores how financial advisors and planners can adapt emotional intelligence into wealth management client services

Financial Planning Magazine

19.12.2024

Boost advisor diversity in the C-suite through sponsorships | Financial Planning

How to boost diversity in financial services: Mentors encourage and inspire — sponsors take action to speed women advisors' way up the leadership pipeline.

Financial Planning Magazine

18.12.2024

Marrying tech to advisor minds: Show Me Your Stack | Financial Planning

Jordan Hutchison's varied career experience has come in handy at his current role as vice president of technology and operations at RFG Advisory.

Financial Planning Magazine

18.12.2024

What top experts predict for wealth management in 2025 | Financial Planning

Experts predict the changes 2025 may bring to wealth management in terms of retirement, taxes, cryptocurrency, artificial intelligence and more.

Financial Planning Magazine

18.12.2024

5 financial planning topics to bring up with clients in 2025 | Financial Planning

In 2025, financial advisors will need to discuss five key topics with clients, even if it's uncomfortable: Donald Trump, health, death, ESG and artificial intelligence.

Financial Planning Magazine

18.12.2024

CFP invites comments on higher competency standards | Financial Planning

The CFP Board is asking for public comments for a changes it wants to its certification requirements and competency standards.

Financial Planning Magazine

18.12.2024

Are Americans saving enough for retirement in 2024? | Financial Planning

Betterment at Work surveyed 1,000 employees about how confident or anxious they're feeling about their financial futures.

Financial Planning Magazine

17.12.2024

Raymond James raiding case brings multimillion-dollar award | Financial Planning

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

Financial Planning Magazine

17.12.2024

Donald Trump affirms plans for bitcoin reserve | Financial Planning

Donald Trump plans to create a strategic cryptocurrency reserve, like the strategic petroleum reserve — a significant shift in U.S. policy on digital assets.

Financial Planning Magazine

17.12.2024

Half of Gen X has no retirement planning, Schroders says | Financial Planning

Almost half of Gen X Americans have not done any retirement planning, according to a survey by Schroders.

Financial Planning Magazine

17.12.2024

Fee war kicks off for one of Wall Street's hottest ETF trades | Financial Planning

There are already nine Nvidia-based single-stock ETFs and 11 Tesla-based ones.

Financial Planning Magazine

17.12.2024

Ameriprise, LPL go to FINRA arbitration in recruit dispute | Financial Planning

Ameriprise and LPL agree to have a third party preserve evidence in their recruiting dispute, setting the stage for FINRA arbitration.

Financial Planning Magazine

17.12.2024

10 key stories on AI and wealth management in 2024 | Financial Planning

When OpenAI turned the world on its ear in November 2022 by releasing the game-changing ChatGPT, no one knew how quickly things would change. But, suddenly, the AI race was on.

Financial Planning Magazine

14.12.2024

5 ways retirement changed in 2024 | Financial Planning

From Donald Trump's reelection to the rise of partial retirement, here are the biggest retirement stories of 2024.

Financial Planning Magazine

14.12.2024

U.S. household wealth climbs to record high amid stock boom | Financial Planning

American households' net worth jumped by 2.9% in the third quarter of 2024, reaching $168.8 trillion — a new record.

Financial Planning Magazine

14.12.2024

FINRA seeks firms' home office updates by Dec. 26 | Financial Planning

FINRA reminds brokers its deadline for registering residential supervisory locations is Dec. 26.

Financial Planning Magazine

14.12.2024

LPL recruits from Osaic in weekly financial advisor moves | Financial Planning

LPL Financial draws from Osaic and Raymond James pulls from Merrill in another week of advisor moves.

Financial Planning Magazine

14.12.2024

Amplified Planning launches new financial advisor training | Financial Planning

Find more ways for prospective financial advisors to advance into the planning profession at RIAs besides traditional wealth management industry training programs

Financial Planning Magazine

14.12.2024

The funniest wealth management stories of 2024 | Financial Planning

Financial advisors share funny stories from their experiences working in wealth management, from crazy clients to bizarre scams.

Financial Planning Magazine

14.12.2024

Direct investor platforms grow as wirehouses shrink | Financial Planning

Retail direct investing is evolving and growing, especially in the age of AI. Meanwhile, wirehouses are shrinking.

Financial Planning Magazine

13.12.2024

Raymond James recruits $5B advisor team for employee channel | Financial Planning

Raymond James recruited a $5 billion financial advisor team from Zions Direct for its employee channel.

home›Financial Planning Magazine›Economy

Financial Planning Magazine - Economy

5 big wealth management regulatory trends in 2024 | Financial Planning

Advisors, clients want to know where the gold is at in 2025 | Financial Planning

Should cryptocurrency have a role in retirement planning? | Financial Planning

How to integrate a tax firm into an advisory practice | Financial Planning

Senate passes Social Security Fairness Act | Financial Planning

Expert predictions for wealthtech and financial planning in 2025 | Financial Planning

Edward Jones, Osaic, Cambridge hit with $8.2M in restitution | Financial Planning

As elder fraud explodes, banks beat back duty to call cops | Financial Planning

Using SEO to boost passive lead generation for advisors | Financial Planning

Raymond James recruits from Merrill in Advisor moves | Financial Planning

What financial advisors should know about equity pay | Financial Planning

Ask an advisor: Trump is coming. Should I buy crypto? | Financial Planning

FINRA hits UBS with a $3.5M penalty | Financial Planning

Jefferies ousts wealth advisors over improper cash transfers | Financial Planning

6 ways to keep your and your clients' tax data secure | Financial Planning

Sustainable investors expect sector growth, but not from them | Financial Planning

E-Trade plans zero-cost funds offered only to clients | Financial Planning

Schwab sues ex-advisor for soliciting wealthy clients for RIA | Financial Planning

New TIFIN Give feature allows for public DAF campaigns | Financial Planning

New book guides financial advisors on emotional intelligence | Financial Planning

Boost advisor diversity in the C-suite through sponsorships | Financial Planning

Marrying tech to advisor minds: Show Me Your Stack | Financial Planning

What top experts predict for wealth management in 2025 | Financial Planning

5 financial planning topics to bring up with clients in 2025 | Financial Planning

CFP invites comments on higher competency standards | Financial Planning

Are Americans saving enough for retirement in 2024? | Financial Planning

Raymond James raiding case brings multimillion-dollar award | Financial Planning

Donald Trump affirms plans for bitcoin reserve | Financial Planning

Half of Gen X has no retirement planning, Schroders says | Financial Planning

Fee war kicks off for one of Wall Street's hottest ETF trades | Financial Planning

Ameriprise, LPL go to FINRA arbitration in recruit dispute | Financial Planning

10 key stories on AI and wealth management in 2024 | Financial Planning

5 ways retirement changed in 2024 | Financial Planning

U.S. household wealth climbs to record high amid stock boom | Financial Planning

FINRA seeks firms' home office updates by Dec. 26 | Financial Planning

LPL recruits from Osaic in weekly financial advisor moves | Financial Planning

Amplified Planning launches new financial advisor training | Financial Planning

The funniest wealth management stories of 2024 | Financial Planning

Direct investor platforms grow as wirehouses shrink | Financial Planning

Raymond James recruits $5B advisor team for employee channel | Financial Planning

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