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News January 4, 2016 Issue

J.P. Morgan Settlement Demonstrates SEC’s Conflict of Interest Focus

Financial giant J.P. Morgan learned the hard way that the SEC wasn’t just talking when a top enforcement executive said a few months ago that it was targeting conflicts of interest. Two of its wealth management subsidiaries on December 16 not only agreed to pay $267 million to settle the case – they had to admit wrongdoing.

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