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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 conduct their business with due skill, care and diligence and that they manage conflicts of interest, between the firm or its employees and its customers or between its customers, fairly. A European asset management firm was recently fined £9.1mn by the FCA for failure to adhere to these principles and effectively manage conflicts of interest.

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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 holiday events—and with that ample risk for conflicts of interest.

Are your gifts and entertainment policies wrapped up in anticipation of the upcoming holiday season?

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A Closer Look at Gifts and Entertainment Compliance

We are relentlessly curious about how organizations deal with their Gifts and Entertainment rules and policy globally. Thinking about that and not finding enough insights, we ran a survey to understand everything we could about Gifts and Entertainment Policy and Compliance trends.

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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 receive gifts from customers and third-party. Risks are evident, but there are a few things to consider in order to maintain gift compliance. Read through the blog and ask yourself: Is your organization prepared to deal with corporate gifts this season and all year long? Are you aware of FINRA gifting guidelines?

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Telefonica Brasil Case Underscores G&E Risks

Telefônica Brasil recently agreed to pay the U.S. Securities & Exchange Commission (SEC) more than $4 million to settle charges brought against the organization for allegedly violating the Foreign Corrupt Practices Act (FCPA). 

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