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!