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.
- Introduction (1:26)
- What constitutes a Gift versus an Entertainment (2:12)
- SEC Guidance on Gifts and Entertainment: Section 206 of the Advisers Act (9:06)
- FINRA Guidance on Gifts and Entertainment: Rule 3220 (2:16)
- Proposed Changes to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) (3:52)
- Year-End Compliance Considerations for Financial Services Firms (4:01)
- Questions and Conclusion (3:17)
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