- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
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Momentum has been on the side of marijuana legalization. Now, there may be progress in allowing banks to legally take part in that expanding retail revolution.
Twelve more firms have been dinged with fines by the Securities and Exchange Commission for failing to properly supervise employees who used off-channel communications to conduct company business. In this latest round of enforcement actions, nine investment advisers and three broker-dealers will pay a total of $63 million.
Capital One promised very high interest rates on millions of savings accounts but the bank didn’t deliver, losing customers more than $2 billion, the Consumer Financial Protection Bureau alleged.
