FINRA Guidance on Gifts and Entertainment: Rule 3220
You can download a full copy of the slides from this webinar.
Interested in learning more about G&E Compliance?
Download our whitepaper; 'How to Build a Strong Gifts, Entertainment & Hospitality Program'.
Full video transcript available below:
Hello, everyone, and welcome to today's webinar, hosted by me, Joe Boyhan of MCO and Jennifer Lin, Partner and Head of the Compliance Group at DLA. |
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Today's webinar is titled, "Best Practices to Keep your Firm SEC and FINRA Compliant this Season." The slides and recording will be emailed to all registrants after the session. |
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This webinar was co-hosted with www.dlallc.com |