Where Gifts Cross the Line: A Compliance Guide for Compliance Teams
Even everyday gestures—a lunch with a vendor, a holiday gift basket—can raise red flags without clear guidelines. For small firms, the risk isn't about budget, it's about perception, consistency, and documentation.
What You’ll Learn:
- What your G&E policy must include to satisfy SEC and state regulators
- Everyday scenarios that can trigger conflicts of interest
- Best practices for training, documentation, and oversight
- Why a simple conflict log can save your firm during an audit
With regulators expecting written policies—even at two-person firms—this guide helps you stay ahead of potential issues with practical, real-world advice. Download the guide today!
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