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Harry Cassin
Publisher and Editor

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Andy Spalding
Senior Editor

Jessica Tillipman FCPA Blog

Jessica Tillipman
Senior Editor

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Bill Steinman
Senior Editor

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Richard L. Cassin
Editor at Large

Elizabeth K. Spahn

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington

Cody Worthington
Contributing Editor

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Julie DiMauro
Contributing Editor

Tom Fox

Thomas Fox
Contributing Editor

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Marc Alain Bohn
Contributing Editor

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Bill Waite
Contributing Editor

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Russell A. Stamets
Contributing Editor

Richard Bistrong FCPA Blog

Richard Bistrong
Contributing Editor

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Eric Carlson
Contributing Editor

Posts Tagged: Banorte-Ixe Securities Ltd.

FINRA fines Banorte-Ixe Securities for inadequate AML program

Julie DiMauro January 29, 2014

The Financial Industry Regulatory Authority (FINRA) said Wednesday it has fined Banorte-Ixe Securities International, Ltd. $475,00 for not having adequate anti-money laundering procedures in place.

Because of the firm’s AML compliance failures, it opened an account for a corporate customer owned by an individual with reported ties to a drug cartel.… Continue Reading