Gifts and Entertainment Tracking
Meet compliance and gain more efficiency every step of the way.
It’s understandable if you’re overwhelmed by the thought of implementing an efficient system for managing requests for review of potential conflicts of interest, code of ethics or other policies. Your firm must track all requests and monitor employees to make sure that they are following the correct policies and procedures, including MSRB Rule G-37 and FINRA rule 3060.
With our Gifts and Entertainment Tracking Solution, you can record and track both gifts and gratuities; business entertainment; non-cash compensation; and political contributions, including “Pay-to-Play.”
Gifts and Entertainment Tracking provides:
Increased flexibility and efficiency
- Get up and running quickly with our Intuitive user interface – minimal training for your team and no programming required.
- Set highly configurable limits, including: dollar amount, item count, internal/external associate, item type, individual item, and YTD aggregation.
- Facilitate notification, review and tracking of all gifting activity in a timely, organized manner with a configurable workflow.
- Eliminate duplicate transaction entries with in-house Accounting, Reimbursement and HR integration.
More thorough and accurate customized reporting
- Track requests and monitor associate activity with robust reporting capabilities.
- Customize reports by: item type, items given/received, category, relationship, associate name, workflow status and date.