Compliance into the Weeds: On the Naughty List-JPMorgan $200 Settlement - a podcast by Tom Fox

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Today, Matt and Tom take a deep dive into the JPMorgan settlement with the SEC and CFTC for faulty electronic record-keeping. Some of the issues we consider are:
·      Why does Matt ‘almost feel bad' for JPMorgan?·      There was a paucity of facts. So why is the fine so high?
·      Is it a ‘Compliance Consultant’ or a Monitor? ·      The remediation agreed to by JPMorgan.
·      Lessons learned for the compliance professional and ephemeral communications.·      Focus on consistent and even-handed discipline for JPMorgan employees going forward.
ResourcesMatt in Radical Compliance
Tom in the FCPA Compliance and Ethics BlogLearn more about your ad choices. Visit megaphone.fm/adchoices

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