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SEC, CFTC fine JPMorgan Chase $200M for recordkeeping violations

2021-12-17T17:01:00Z

JPMorgan Chase will pay $200 million in fines to settle charges brought by two federal regulators regarding the bank’s failure to maintain records of communications on securities, commodities, and swaps business matters made on bank employees’ personal devices.

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SEC, CFTC fine JPMorgan Chase $200M for recordkeeping violations