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JPMorgan will pay additional $100M to CFTC to settle trade surveillance lapses
Compliance Week· 1 day agoThe CFTC’s fine will be offset by $100 million, money the bank will pay to the U.S. Treasury’s...
JPMorgan (JPM) Gets CFTC Order to Pay for Surveillance Lapses
Zacks via Yahoo Finance· 18 hours agoAn order has been issued against JPMorgan JPM by the Commodity Futures Trading Commission (“CFTC”)...
CFTC’s Kristin Johnson a Leading Candidate to Be New FDIC Chair
Bloomberg· 1 day agoKristin Johnson, a Democratic commissioner at the Commodity Futures Trading Commission, has emerged...
CFTC fines J.P. Morgan Securities $200 million over order surveillance gaps
Pensions & Investments· 16 hours agoJ.P. Morgan admitted to the facts in the CFTC order regarding surveillance data gaps and causes of surveillance data gaps, but otherwise neither admitted to nor denied the ...
CFTC Report Calls on Agency to Engage in Rulemaking on AI — AI: The Washington Report
The National Law Review· 5 days agoA working group within the Commodity Futures Trading Commission (CFTC) released a report on May 2,...
JPMorgan to pay $100M for client order monitoring fails: CFTC
InvestmentNews· 22 hours agoJPMorgan Chase & Co. failed to properly monitor billions of client orders between 2014 and 2021,...
CFTC, J.P. Morgan Securities Settle Charges of Supervision Failures
Morningstar· 1 day agoBy Stephen Nakrosis The Commodity Futures Trading Commission on Thursday said it simultaneously filed and settled charges against J.P. Morgan Securities LLC. According to the CFTC< ...
CFTC to issue carbon credits rulebook by year end
InvestmentNews· 4 days agoThe US Commodity Futures Trading Commission expects to finalize its guidance for carbon credits within the next six months, as it pursues a broader...
JPMorgan poised to pay $100 million over CFTC trade reporting violations, source says
Reuters via Yahoo Finance· 3 days agoA spokesperson for the CFTC declined to comment. A JPMorgan spokesperson declined to comment, but...
JPMorgan fined by CFTC over surveillance gap probe
Banking Dive via Yahoo Finance· 22 hours agoJPMorgan will pay $200 million in a civil monetary penalty, with up to $100 million credited for amounts paid to the OCC and the Fed in March in parallel...