[Video] Compliance into the Weeds: the JPMorgan Fine and Penalty
By EsqSocial Corporation 07/10/20
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...
By: Thomas Fox