Best Practices to Keep your Firm SEC & FINRA Compliant this Season

    

Best Practices to Keep your Firm SEC & FINRA Compliant this Season

This MCO webinar co-hosted with Jennifer Lin, Partner and Head of the Compliance Group at DLA, LLC, presents best practices to ensure your gifts & entertainment program is SEC and FINRA compliant during the corporate, gift-giving season.  

You can download the slides from this webinar here.

Download our whitepaper a 'How to Build a Strong Gifts, Entertainment & Hospitality Program'

This webinar was co-hosted with Jennifer Lin of DLA www.dlallc.com

 

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