The Compliance Digest

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

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