GUEST ESSAY: JPMorgan’s $200 million in fines stems from all-too-common compliance failures
The Last Watchdog
JANUARY 13, 2022
While the price tag of these violations was shocking, the compliance failure was not. According to a SEC release , hefty fines brought against JPMorgan, and its subsidiaries were based on “widespread and longstanding failures by the firm and its employees to maintain and preserve written communications”.
Let's personalize your content