FINRA Gift Rules and Monitoring
Gift-giving and entertaining—commonly known as “wining and dining”—have long been integral to business practices, serving to build relationships and facilitate negotiations.
Gifts & Entertainment
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Political Contributions, Gifts and Entertainment: How to Take a Proactive Stance Against Bribery and Corruption
When it comes to the monitoring of employee conflicts relating to gifts and entertainment (G&E), and political contributions, it can be challenging for compliance…
Is Your Compliance Program Haunting You?
Stephen King, the world-famous author known for his horror stories, once stated, “We make up horrors to help us cope with the real ones.
Political Contributions – Emails, Texting, and Phone Calls…Oh My!
US presidential campaigning is alive and well, coming to you on any and all devices you own.
Best Practices to Strengthen Your Company’s Gift & Entertainment Policies
Gift and entertainment (G&E) policies can be a tricky road to navigate.
Avoid Santa’s Naughty List: How Gifts & Entertainment Infractions Have Impacted Companies In 2022
2022 has seen record-breaking enforcement actions for non-compliance with gifts-and-entertainment rules, and the year isn’t over yet.
Illegal Insider Gifting Poses New Compliance Risk For Firms
What is illegal insider gifting and why is it suddenly a potential problem for financial firms? In this week’s StarBlog, our resident insider-trading expert…
Is Wining And Dining Back On The Firm Menu? How To Monitor Gifts And Entertainment
The future may be unwritten, but there’s enough writing on the wall to begin thinking about what firm risk might soon look like, post…
How Do I Manage Gifts And Entertainment?
A guide for compliance officers in enterprise financial firms