Securities regulators continue to make conflicts of interest a top priority and have increased their vigilance with respect to gifts and entertainment regulations. The SEC, FINRA, state securities and insurance regulators, OCC, FDIC, and other federal regulators, have placed gifts and entertainment management and other conflicts of interest high on the list of topics of focus for regulatory examinations and audits.
This webinar featured an expert panel who provided an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.
Topics will cover:
- Overview of relevant securities rules and regulations governing gifts and entertainment, including FINRA 3220 and beyond.
- Recent FINRA guidance on gifts and entertainment compliance in a work-from-home context.
- The latest enforcement actions and trends in regulatory oversight.
- How compliance teams are effectively managing gifts and entertainment compliance at an enterprise level.
- Technology best practices to improve efficiency through automation and ensure robust compliance.
Director, North America Compliance
Senior Product Manager
RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms.
Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk.
Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.