On Wall Street, A Closer Look At Giving Gifts
Article Abstract:
Both the Securities and Exchange Commission and the National Association of Securities Dealers are investigating the gift giving and business entertainment practices of brokerage firms and mutual fund companies. Business gifts are not to exceed $100 in value.
Publisher: The New York Times Company
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
Government regulation (cont), Government regulation, Management dynamics, Legal/Government Regulation, Laws, regulations and rules, Discipline, Practice, Business entertaining, Mutual fund managers
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
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Gifts to Fidelity Employees Attract Investigators
Article Abstract:
The National Association of Securities Dealers and the Securities and Exchange Commission are investigating the business gifts and incentives given to mutual fund employees at Fidelity Investments.
Publisher: The New York Times Company
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
Management investment, open-end, Behavior, Mutual fund industry, Fidelity Investments
Publication Name: The New York Times
Subject: News, opinion and commentary
ISSN: 0362-4331
Year: 2004
User Contributions:
Comment about this article or add new information about this topic:
Subjects list: United States, Company legal issue, Stockbrokers, Investigations, Compensation and benefits, United States. Securities and Exchange Commission, Business gifts, National Association of Securities Dealers
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