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Topic: Gifts

'Tis the Season for Gift-Giving Policies and Procedures

December 16, 2016
Whether advisory firm employees are gift-givers or gift-receivers this month, they need to make sure they follow not only gift regulations, but the firmís policies and procedures. Chief compliance officers should make use of the holiday spirit to ensure that their firmís policies and procedures are in accordance with regulatory requirements, and that they are followed.

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FINRA Proposes Raising Gift Limit

August 19, 2016
Twenty-four years may seem like a long time to some, but apparently not to FINRA, which this month proposed increasing its limit on gifts provided by broker-dealers from $100 to $175 to account for inflation. Itís the first such increase in the gift limit since 1992.

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Holiday Warning: Giving Gifts May Be Just as Bad as Receiving Them

December 10, 2015
It may be the season of giving, but if youíre an investment adviser seeking to influence a client, investor, service provider or some other party, better think twice.

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Guidance Update Requires Funds to Address Adviser Gifts and Entertainment

March 6, 2015
Donít be done in by a gift to the adviser managing your fund.

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Holiday Gifts: Be On the Lookout for Discounts

December 5, 2014
The holidays are upon us, and for chief compliance officers, that means more than songs and egg nog.

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Look a Gift Horse in the Mouth: Crack Down on Employee Freebies

December 21, 2013


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Fidelity Traders Settle Gifts and Entertainment Case

December 12, 2008


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