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JPMS Fined $800,000 for Failure to Supervise and Pre-Trade Controls - Kill Switch
A Case for At-Trade Risk Management JPM accepted a fine for $800,000 because they “failed to establish, document, and maintain a system of risk management controls and supervisory procedures, including written supervisory procedures and an adequate system of follow-up and review, reasonably designed to manage the financial, regulatory, and other risks of its market access …
Gurudev Informatics Naperville, IL, USA