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JPMorgan fined for regulatory breaches and / or internal control failings

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The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited (JPMSFE) (collectively “JP Morgan”), and fined them $15m, $12m and $3m respectively for various regulatory breaches and/or internal control failings.

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Dog Detective

JPMorgan fined for regulatory breaches and / or internal control failings

The Securities and Futures Commission (SFC) has reprimanded J.P. Morgan Broking (Hong Kong) Limited (JPMBHK), J.P. Morgan Securities (Asia Pacific) Limited (JPMSAP) and J.P. Morgan Securities (Far East) Limited (JPMSFE) (collectively “JP Morgan”), and fined them $15m, $12m and $3m respectively for various regulatory breaches and/or internal control failings.