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Gifts and Entertainment (48)
Your search for Gifts and Entertainment returned 48 results.
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7/17/2018 | Content area: Broker-Dealer
BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for thes...
1/21/2018 | Content area: Investment Adviser
A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethi...
10/26/2017 | Content area: Private Fund
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apol...
2/20/2017 | Content area: Investment Adviser
A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.
2/09/2017 | Content area: Investment Adviser
Your compliance role can be so much easier when management supports you – and ever more painful when a firm’s owner overrules you.   A new SEC settlem...
2/08/2017 | Content area: Investment Adviser
Between at least 2011 and October 2014, JSA disseminated marketing materials containing representations that JSA had “never, not once, taken even so m...
12/22/2016 | Content area: Broker-Dealer
“A leopard can’t change its spots.” That saying appears to apply to Navnoor Kang. Three years ago, while serving as a VP at a well-known asset managem...
10/06/2016 | Content area: Broker-Dealer
Industry groups and brokerage firms embraced, in theory, a proposed overhaul of gifts and entertainment rules by FINRA, but said regulators should mak...
8/11/2016 | Content area: Broker-Dealer
It’s been nearly two years in the making but FINRA is now moving on proposed amendments and new rules tied to gifts, gratuities and non-cash compensat...
5/19/2016 | Content area: Broker-Dealer
FINRA has backed changes in its gifts and entertainment rules that would update a two-decade old limit and offer firms the hope of less paperwork and ...
3/17/2016 | Content area: Investment Adviser
It can be challenging when you report to multiple regulators to keep their gifts and entertainment thresholds straight. The Department of Labor’s $250...
8/28/2015 | Content area: Investment Adviser
From about February 2008 to about March 2012, Bennett provided an employee of a proxy solicitation firm with nonpublic information about ISS clients i...
8/10/2015 | Content area: Investment Adviser
GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loa...
6/18/2015 | Content area: Investment Adviser
In an attempt to temper the tempest stirred by last February’s SEC Division of Investment Management guidance on registered fund gifts and entertainme...
6/04/2015 | Content area: Investment Adviser
IA Watch has learned that some industry groups are asking the SEC to come out with additional guidance about fund advisers and gifts and entertainment...
4/02/2015 | Content area: Investment Adviser
Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that have one...
2/24/2015 | Content area: Investment Adviser
If you’re a compliance officer for a fund adviser, chances are you’re well aware a gifts and entertainment policy should be in your code of ethics or ...
2/24/2015 | Content area: Investment Adviser
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Inve...
1/02/2015 | Content area: Investment Adviser
Whatever the Financial Stability Oversight Council’s next move is toward regulating asset managers, it will be aided by comments from the industry, sa...
12/24/2014 | Content area: Broker-Dealer
Change may be coming to FINRA’s public communications and gifts, gratuities and non-cash compensation rules. The SRO has issued two retrospective rule...


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