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Marijuana › Marijuana Related Businesses › Broker-Dealer

Gordon Rees Scully Mansukhani

Recent SEC AML Enforcement Against Securities Firms Engaged in Cannabis Sector

Gordon Rees Scully Mansukhani on

The evolving regulatory landscape for marijuana-related businesses poses unique compliance challenges for firms in the securities industry. The Financial Crimes Enforcement Network (“FinCEN”) continues to enforce its 2014...more

Nutter McClennen & Fish LLP

Bank Report: December 2019

Nutter McClennen & Fish LLP on

FDIC and OCC Propose CRA Modernization Rule with Opt-Out for Small Banks The FDIC and the OCC have jointly proposed amendments to modernize the agencies’ Community Reinvestment Act (“CRA”) regulations, which are intended...more

Baker Donelson

It's Not Reefer Madness, It's Risk Management: Providing Investment Services to the Marijuana-Related Industry

Baker Donelson on

Investment advisors and broker-dealers ask more and more whether they can safely provide investment services to prospective customers in the marijuana industry. The answer is still that there is a risk of liability under...more

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