JP Morgan Outlines Compliance Overhaul
JP Morgan, the Wall Street bank that has racked up more than $23 billion in regulatory fines since the financial crisis, has released a 100-page report detailing its efforts to improve compliance, culture, and internal controls. The report, “How We Do Business,” was in response to pressure from shareholder activists ...
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
Article
Putting All of That Talent to Work Smartly
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on risk and compliance. But is more always better? While the investment sends a message, more boots on the ground may just step on ...
-
ArticleBroker-dealer Canaccord pays $80M to FinCEN, admits to willful BSA violations
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
-
OpinionAn appreciation of CW’s data and research journalist, Aly McDevitt
One of the best things about writing for Compliance Week is reading the fabulous work by my colleagues. For me, CW data and research journalist Aly McDevitt has always stood out as someone whose work in reporting on and writing the Compliance Week case studies is work I have greatly ...