Regulation and compliance

Only 68 tipsters received money in 2023, down from 100 in the previous year.

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

The IRS is rolling out a voluntary disclosure program to let businesses pay back Employee Retention Credits they claimed in error.

Gregory Estes was convicted by a jury in the state court of San Angelo, Texas, following "an intense eight-day trial," according to a local news report.

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

From top brokers and broker pay to succession planning, advising for Medicare, ChatGPT and our coverage of the independent space, these are the biggest stories FP published in the last year.

The new deduction rates apply to electric and hybrid vehicles, as well.

One side hurled accusations of "scare tactics." The other complained of "regulatory overkill." On Day 1, the debate over a new retirement regulation got off to a dramatic start.