• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
FTI 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Credit agencies

Credit agencies

In a First, SEC Fines Moody’s Over Poor Controls, Unclear Rating Symbols | Corporate Counsel

By Securities Docket on August 30, 2018, 7:55 am

In the first enforcement action of its kind, Moody’s Investors Services Inc. has agreed to pay $16.25 million to settle charges that it failed to adopt adequate internal controls and to apply clear and consistent credit rating symbols. via In a First, SEC Fines Moody’s Over Poor Controls, Unclear Rating Symbols | Corporate Counsel.

Posted in SEC, Top | Tagged Credit agencies, Moody's

SEC Charges Credit Ratings Analyst and Two Friends with Insider Trading

By Securities Docket on June 27, 2018, 10:21 am

The Securities and Exchange Commission today charged a credit ratings agency employee with tipping two friends about The Sherwin-Williams Co.’s confidential plans to acquire The Valspar Corp., which he learned of through his work.  The SEC also charged the two friends with trading on the illicit tips, which reaped them substantial profits. via SEC.gov | […]

Posted in SEC, Top | Tagged Credit agencies, Insider Trading

In Wake of Equifax Data Breach, Credit Reporting Agencies Made Subject to NY State Cybersecurity Regulations | New York Law Journal

By Securities Docket on June 27, 2018, 10:15 am

Credit reporting agencies will now be required to register with the state and comply with its cybersecurity regulations, the state Department of Financial Services announced Monday. The new rules are the state’s response to last year’s data breach at Equifax, a credit reporting agency, that exposed the personal information of 143 million people. If a […]

Posted in Industry, Regulation, Top | Tagged Credit agencies

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.