JitneyTrade fined $90,000 for weak controls over direct-access clients
Regulators issue guidance on valuation, liquidity and custody issues for crypto funds
U.S. SRO aims to enable more efficient oversight as reps continue to work from home
FSRA brought similar allegations against the agent earlier this year
Gravitas Securities suspended after repeated shortfalls, failure to file financials
High-profile enforcement may spur U.S. policy reform, Moody's says
Conflict of interest concerns spark regulators' review
Integrating the SROs' compliance and enforcement functions is a top priority alongside policy work
SRO ordered US$48.1 million in monetary penslties in 2022
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