Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment

Overview

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.