FINRA Rule 3220: The Gifts Rule FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment... READ MORE
Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry Hong Kong has become one of the most corruption-free nations in the world. The Transparency... READ MORE
How to Manage Connected Persons and Personal Relationships Compared with other industries, the financial services industry inherently has an elevated risk of... READ MORE
FCA Fines Asset Management Firm and Employee for Conflicts of Interest The UK Financial Conduct Authority (FCA) has clearly set expectations to ensure that asset managers... READ MORE
Now’s the Time to Wrap Up Gifts & Entertainment Policies It’s that time of year again! The end of the year brings opportunity for corporate gift giving and... READ MORE
A Closer Look at Gifts and Entertainment Compliance We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules... READ MORE
Dealing with Corporate Gifts During the Festive Season Yes, that wonderful time of the year has arrived again. The time where most of your employees will... READ MORE
Telefonica Brasil Case Underscores G&E Risks Telefônica Brasil recently agreed to pay the U.S. Securities & Exchange Commission (SEC) more than... READ MORE
