SEA 1934 Rule 17g-5 – Global Relay Intelligence & Practice

SEA 1934 Rule 17g-5

SEC

SEC publishes annual report on rating agencies

February 6, 2023

The report highlights compliance issues connected to communication and effective internal controls.

Thomas Hyrkiel2 min read
Enforcement

Conflict of interest rules cause headaches at S&P

November 16, 2022

SEC charges S&P Global Ratings with violating conflict of interest rules; $2.5m penalty levied.

Thomas Hyrkiel3 min read