Tag: JPMorgan

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Daily Compliance News

April 5, 2023 – The Not There Finest Hour Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

· Jamie Dimon says banking regs need to be tightened.  (WSJ)

· Steinmetz’s guilty verdict was upheld on appeal.  (Reuters)

· Founder of Frank charged with fraud. (NYT)

· VW fights draconian sanctions. (Reuters)

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Daily Compliance News

March 22, 2023 – The Fighting Autocracy Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

·       Fighting Autocracy means fighting corruption. (War on the Rocks)

·       Scandal killed Credit Suisse. (Bloomberg)

·       JPMorgan and Deutsche Bank must defend Epstein cases. (CNN)

·       Habits of Sweet 16 underdogs. (WSJ)

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Daily Compliance News

March 6, 2023 – The Enshittification Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

  • Why do websites go to dogs? (FT)
  • Why Jeffrey Epstein still haunts JPMorgan and Barclay’s. (FT)
  • Are layoffs a cakewalk? (FT)
  • Open for Business-Venezuela? (FT)
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Daily Compliance News

February 21, 2023 – The CEO Whisperer Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen to the Daily Compliance News. All from the Compliance Podcast Network. Each day we consider four stories from the business world, compliance, ethics, risk management, leadership, or general interest for the compliance professional.

Stories we are following in today’s edition of Daily Compliance News:

  • Ex-JPMorgan banker found guilty of Libya fraud. (Bloomberg)
  • US meatpacker fined for using underaged children. (WaPo)
  • Meta gets a slight reprieve in UK class action. (Reuters)
  • Who is the boss whisperer? (FT)
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Daily Compliance News

September 2, 2022 the Wife Too Edition

In today’s edition of Daily Compliance News:

  • Healthcare is a dangerous business in Russia. (WSJ)
  • Big tech is moving production out of China. (NYT)
  • Najib’s wife gets 10 years for her role in 1MBD. (Al Jazeera)
  • JPMorgan German offices searched in trading scandal investigation. (Reuters)
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Daily Compliance News

July 21, 2022 the JPMorgan Whistleblower Headed to Trial edition


In today’s edition of Daily Compliance News:

  • Banks are turning to AI more and more for compliance issues. (WSJ)
  • JPMorgan whistleblower headed to trial. (Bloomberg)
  • Corruption concerns in Ukraine rear ugly head. (NPR)
  • Gibson Dunn accuses King & Spalding. (Reuters)
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Daily Compliance News

May 19, 2022 the Pressure Edition


In today’s edition of Daily Compliance News:

  • JPMorgan shareholders disapprove of CEO pay package. (Reuters)
  • Allianz pleads guilty. (NYT)
  • DOJ to require CCO certification. (Compliance Week)
  • Top Nigerian accountant arrested in $193MM theft. (Bloomberg)
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Compliance Into the Weeds

JPMorgan Responds to Whistleblower Claims


Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. This week, Matt and Tom take a deep dive into the recent response of JPMorgan to the whistleblower termination allegations of Shaqualla Williams. Highlights include:

  • What does whistleblower protection actually mean?
  • Can a company fire an employee for other conduct if they have filed a whistleblower report?
  • Will this become the template for getting rid of whistleblowers?
  • Do the substance of whistleblower reports matter?

Resources
Matt in Radical Compliance

Categories
FCPA Compliance Report

Karen Woody on JPMorgan and Nikola SEC Enforcement Actions


In this episode of the FCPA Compliance Report, I am joined by Professor Karen Woody. We discuss the recent SEC enforcement actions involving JPMorgan and Nikola which were announced in December 2021. Highlights of this podcast include:

  1. Background on both cases.
  2. Why was the SEC so excised with JPMorgan?
  3. What are the broader lessons for the Compliance Professional?
  4. Compliance Consultant or Monitor or both?
  5. Nikola and the trouble with SPACs?
  6. What is the intersection of puffing, faking it til you make it and illegal conduct?
  7. SPACs and Due Diligence.
  8. Could Nikola change the SEC approach to SPACs?
  9. From visionary to founder to CEO of a public company?
  10. The shadow of Elizabeth Holmes?

Resources-Tom on the FCPA Compliance and Ethics Blog
JPMorgan
Nikola

Categories
Compliance Into the Weeds

Compliance into the Weeds: On the Naughty List-JPMorgan $200 Settlement

Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. Today, Matt and Tom take a deep dive into the JPMorgan settlement with the SEC and CFTC for faulty electronic record-keeping. Some of the issues we consider are:

·      Why does Matt ‘almost feel bad’ for JPMorgan?
·      There was a paucity of facts. So why is the fine so high?
·      Is it a ‘Compliance Consultant’ or a Monitor?
·      The remediation agreed to by JPMorgan.
·      Lessons learned for the compliance professional and ephemeral communications.
·      Focus on consistent and even-handed discipline for JPMorgan employees going forward.
Resources
Matt in Radical Compliance
Tom in the FCPA Compliance and Ethics Blog