The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Why G&E Tracking is More Important Now Than Ever

If you’re sitting there thinking to yourself “well, that’s just one less thing our compliance team has to worry about this year,” I may urge you to reconsider. Gift and entertainment-related risks haven’t gone away, they’ve just evolved, and so too will your policies and procedures to keep pace. Read More

Are your Gift & Entertainment Policies Holiday Ready?

With the holidays just around the corner, it's the perfect time for your company to review its gift and entertainment policies and procedures. Read More

Are your Gift & Entertainment Policies Holiday Ready?

With the holidays just around the corner, it’s the perfect time for your company to review its gift and entertainment policies and procedures with firm employees.  Read More

The Economic Impact of FINRA’s “Gift Rule” Change

Earlier this month, FINRA issued Regulatory Notice 16-29, which solicits feedback regarding proposed changes to FINRA’s gifts, gratuities and non-cash compensation rules. Read More