FINRA Focuses AML Enforcement on a BD Doing Business in Mexico
By EsqSocial Corporation 07/02/14
The Financial Industry Regulatory Authority (FINRA) recently took formal disciplinary action against a New York-based broker-dealer that is affiliated with a Mexican broker-dealer and a Mexican bank for inadequate anti-money laundering (AML) systems...
By: Morrison & Foerster LLP - Broker-Dealer