By Peter Chan, Suzan Rose and Karl Egbert ( January 6, 2021, 4:52 PM EST) -- A recent U.S. Securities and Exchange Commission trial victory in a case involving the provision of complimentary trips, dinners and perks — SEC v. John A. Paulsen — highlights the SEC's increasing focus on gift and entertainment expense compliance in the asset management industry, and how compliance policies are being adapted for a socially distanced workforce....
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