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Gifts & Entertainment Compliance: What Financial Professionals Need To Know

Nov 20, 2024

To help you navigate this compliance conundrum, we’ve compiled insights on the core regulations, as well as best practices to ensure a gift doesn’t put you on the wrong side of the regulator.  

When it comes to doing business, giving and receiving gifts is a common practice – often used to show appreciation for partnerships, work, and ongoing joint success. 

However, when it comes to the world of compliance, gift giving can get complicated. Especially when those gifts come with hefty price tags. 

Firms around the world must contend with stringent gift and entertainment regulations, ensuring no gift comes with strings (and potential conflicts of interest) attached.  

To help you navigate this compliance conundrum, we’ve compiled insights on the core regulations, as well as best practices to ensure a gift doesn’t put you on the wrong side of the regulator.  

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