All J.P. Morgan articles
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ArticleEuropean regulators fine banks for compliance failures and warn more investigations will follow
Crédit Agricole and J.P. Morgan were among financial institutions that found themselves in the cross-hairs of the European Central Bank for faulty risk assessments and risk reporting and failing to protect consumers from fraud risks. All of those companies fined also missed compliance deadlines.
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Blog
FINRA fines J.P. Morgan $1.25M for failing to screen thousands of employees
The Financial Industry Regulatory Authority fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600—or 95 percent—of its non-registered employees, in violation of federal securities laws.