Risk and Compliance Insights | MyComplianceOffice | Gifts and Entertainment

Posts about Gifts and Entertainment:

A man and woman exchange gifts in a festive office decorated with Christmas trees and lights. They smile warmly, creating a cheerful holiday atmosphere.

Managing Gifts, Entertainment, and Hospitality Risk in Financial Firms

According to a survey of over 300 compliance and financial professionals, the leading challenge in...

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A wrapped gift with a red ribbon sits on a white desk next to an open laptop.

FINRA Rule 3220: The Gifts Rule

FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment...

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Mitigate Gifts and Entertainment Risk with MCO

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...

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Hong Kong ICAC Releases Anti-Corruption Guide for Banking Industry

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...

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How to Manage Connected Persons and Personal Relationships

How to Manage Connected Persons and Personal Relationships

Compared with other industries, the financial services industry inherently has an elevated risk of...

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Arched stone building illuminated at night with tree branches and blue sky in the background.

FCA Conflicts of Interest in Asset Management Explained

Conflicts of interest are one of the FCA’s primary conduct concerns for asset managers. The...

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Black notebooks, eyeglasses, and a gift box with a red bow on a wooden desk.

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...

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Open report displaying colorful charts, graphs, and text analyzing data and financial information.

A Closer Look at Gifts and Entertainment Compliance

We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules...

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Compliance professional analyzing regulatory data and risk documentation

Telefonica Brasil Case Underscores G&E Risks

Telefônica Brasil recently agreed to pay the U.S. Securities & Exchange Commission (SEC) more than...

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