GUEST ESSAY: JPMorgan’s $200 million in fines stems from all-too-common compliance failures
The Last Watchdog
JANUARY 13, 2022
Last month’s $125 million Security and Exchange Commission (SEC) fine combined with the $75 million U.S. Commodity Futures Trading Commission (CFTC) fine against JPMorgan sent shockwaves through financial and other regulated customer-facing industries. Related: Why third-party risks are on the rise.