Credit rating agencies
-
What you need to know about ESMA’s new Registration Guide
While not legally binding, the guide provides clarity on ESMA’s assessment process for financial entities navigating the registration process.
-
SEC charges six credit rating firms for e-comms recordkeeping failures
Four of the six firms ordered to retain compliance consultants; two exempted due to extensive cooperative and remedial efforts.
-
S&P fined for premature public credit ratings release
Inadequate internal control mechanism and other infringements result in a €1.1m ($1.19m) fine.
-
SEC publishes annual report on rating agencies
The report highlights compliance issues connected to communication and effective internal controls.