All gift giving articles
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ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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Blog
Monitoring Gifting Policies During the Holiday Season
The holiday season is always a good time to remind employees about gifts and hospitality rules. The general messages are clear: Follow the rules; use good judgment; seek help if you aren’t sure what to do; and never do something that doesn’t feel right. This week, columnist Jose Tabuena suggests ...