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The weekly news source for investment management legal and compliance professionals

News December 10, 2018 Issue

Holiday Compliance: It’s Not Just Gifts, It’s Client and Vendor Parties

Every year at this time, advisory firms and their employees take a fresh look at their gift and entertainment policies to ensure that there are no compliance problems and that everyone knows what is expected. While many employees are aware of their firmsí dollar limits for receiving or giving gifts, there is another issue that draws less attention: employee attendance at holiday parties thrown by clients, prospective clients, vendors or other third parties.

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