The JPMorgan Fine and Penalty - 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. In this episode Matt and Tom go into the weeds to look at the recent fine of $920 million against JPMorgan for spoofing. Some of the issues we consider are:

What is spoofing?How did the CFTC use data analytics to build their case?

What does that mean for compliance professionals?How did the JPMorgan remediation of its compliance function reduce ?

Once again, the DOJ demonstrates that robust remediation will pay great dividends in the form of a significant penalty reduction. Resources
See Matt’s blog posts on Radical Compliance-JPMorgan’s Compliance BenefitSee also, David Michaels piece in the Wall Street Journal, JPMorgan’s Probe Revived by Regulators Data Mining
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