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.

FINRA Gift Rules and Monitoring

Gift-giving and entertaining — perhaps more commonly known as “wining and dining” — have been intrinsically linked with business since the dawn of commerce.

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