Gift and expense disclosures
Bring gifts and entertainment expenses into one consistent disclosure process.
Gifts & Entertainment Compliance Software
Make disclosures, approvals, and recipient totals easier to follow.
Bring gifts and entertainment requests into a consistent review process, with the information your team needs to assess the firm's policy and prepare reports.
- Gift and entertainment disclosures
- Review and approval routing
- Recipient, date-range, and expense reporting
Financial firms that trust Patrina
A consistent process for everyday business courtesies.
Patrina's Gifts & Entertainment Module is part of the Compliance Suite. The module provides a centralized dashboard and workflows for disclosures, review requests, documentation, oversight, and reporting across a single branch or a larger organization.
Employees can disclose gifts and entertainment expenses, route requests to appropriate reviewers, and generate reports by recipient, totals, date range, and type of gift or expense. Use those records to support the firm's assessment of potential conflicts and its own policy requirements.
From a disclosure to a documented decision.
See how the work moves through the module, from the first record to the next action.
Capture the details behind the exchange.
Bring the request into the firm's process with the recipient and expense information needed for review.
- Disclose gifts and entertainment expenses
- Document the recipient and type of expense
- Keep supporting information with the request
Route the request to the right reviewer.
Give appropriate parties a consistent route for reviewing and approving requests in the context of the firm's policies.
- Disseminate requests for review and approval
- Consider recipient totals and potential conflicts
- Document the review and its outcome
Make the records useful for oversight.
Organize disclosures and decisions into the reporting views the compliance team needs.
- Review recipients and cumulative totals
- Filter by date range or expense type
- Discuss retention and retrieval requirements
Inside the modulePublished product views
Keep the essential work connected.
Give the team a consistent place for the information, decisions, and records behind each task.
Review and approval routing
Disseminate requests to the appropriate parties for their review and decision.
Recipient-level visibility
Review gifts and expenses by recipient and use the relevant totals in your oversight process.
Custom reporting
Generate reports tracking recipients, totals, date ranges, and types of gifts or expenses.
Connected documentation
Keep disclosure information, supporting records, and the review process in the same workflow.
A firm-wide working view
Use the published centralized dashboard model to coordinate oversight across branches and teams.
Use the current rule and your firm's own policy.
Separate a gift's facts from the review decision. Consider the recipient, the business relationship, aggregation, applicable exceptions, and the firm's policy before approving the exchange.
The general gift limit is now $300
FINRA raised the Rule 3220 limit from $100 to $300 per individual per year, effective March 30, 2026. The limit concerns gifts connected with the business of the recipient's employer.
FINRA Regulatory Notice 26-05Aggregation and exceptions matter
Apply the rule's valuation, aggregation, supervision, and recordkeeping provisions. Its scope and exceptions matter; it does not create a universal spending allowance for every recipient.
FINRA Rule 3220Gifts and entertainment are not interchangeable
FINRA's notice distinguishes a gift incidental to business entertainment from the cost of the entertainment event itself. Review the circumstances and the applicable firm policy.
Gifts and business entertainmentTest the workflow against your gift policy.
Bring a representative disclosure, your review responsibilities, and the report you need to produce. Confirm the current configuration and policy controls with Patrina.
Request a gifts compliance demoBring these to the conversation.
- Your firm's gift and entertainment policy
- A disclosure with recipient and expense details
- Reviewer responsibilities and decision records
- A report by recipient, date range, and expense type
What Patrina customers say.
Customer experiences with Patrina's service and compliance technology.
“We use Patrina primarily to help us monitor email communication between the advisor and the client. In addition, we find Patrina useful in helping us monitor external text messaging.”
“I moved to Patrina as my archiving vendor several years ago. By comparison, I find Patrina’s user interface substantially easier to navigate, and their prices are lower. I’ve been quite pleased with my decision.”
“I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it’s less expensive than any of the others.”
“We chose Patrina because the solutions our previous archive partner provided did not meet our growing needs. Patrina’s service is impeccable.”
“After reviewing several competitors, Wingo Asset Management chose Patrina and couldn’t be happier. Patrina provides outstanding compliance record archiving services, exceptional customer service, and unbeatable pricing.”
“Patrina makes it convenient and efficient to retrieve emails and related information. Onboarding was simple and intuitive. Customer service has been consistently pleasant and helpful.”
“Patrina’s system works great, and their customer support is extremely efficient whenever we call. We’ve had a very positive experience with both their platform and their service.”
A clearer basis for your next step.
Bring your firm's process and questions to a focused product discussion.
Talk it through with PatrinaWhat does the Gifts & Entertainment Module help manage?
Patrina's existing service describes disclosures, review and approval routing, documentation, and custom reporting by recipient, total, date range, and expense type. The module supports the firm's oversight workflow.
Is the FINRA gift limit still $100?
No. FINRA's amendment increased the general Rule 3220 limit to $300, effective March 30, 2026. Review the cited notice for its scope and the current rule for the applicable provisions.
Can we review totals for a particular recipient?
The module includes reports tracking recipients and totals, together with date ranges and types of gifts or expenses. Demonstrate your required reporting view with Patrina.
Does the same treatment apply to all entertainment?
Do not treat every entertainment expense as the same kind of gift. The cited notice explains the distinction for business entertainment, and the firm's policy may impose additional controls.
Does using the software determine whether an exchange is allowed?
The firm's compliance team makes that assessment under the applicable rules and its policies. Use the software to support disclosures, review, and documentation, and confirm the configuration and records you need during a demonstration.
Test the fit for your firm's workflow.
Bring a representative process. See the relevant product path, clarify configuration questions, and agree the next evaluation step with Patrina.
- A walkthrough focused on gifts and entertainment oversight
- Review roles, records, and reporting needs
- Questions answered in the context of your firm
Request a gifts compliance demo
Gifts and entertainment oversightRequest a demo