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.
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