SEC charges six Credit Rating Agencies with significant recordkeeping failures

Rubriques :

Firms admit to wrongdoing and agree to pay penalties more than $49 million to settle SEC charges WASHINGTON, USA – The Securities and Exchange Commission, on Tuesday, announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications. The firms […]

Six credit rating agencies pay $49m to settle SEC charges

royalgazette.com - 09/Sep 15:43

Six credit rating agencies have admitted to wrongdoing and agreed to pay penalties totalling more than $49 million to settle US Securities and...

Six credit rating agencies pay $49m to settle SEC charges

royalgazette.com - 09/Sep 15:43

Six credit rating agencies have admitted to wrongdoing and agreed to pay penalties totalling more than $49 million to settle US Securities and...

Moody's, S&P Global & 4 Others Fined by SEC for Record-Keeping Failure

zacks.com - 04/Sep 13:14

Six credit rating agencies, including MCO and SPGI, agree to pay $49 million in civil penalty to the SEC for failing to keep electronic...

Moody's, S&P Global & 4 Others Fined by SEC for Record-Keeping Failure

zacks.com - 04/Sep 13:14

Six credit rating agencies, including MCO and SPGI, agree to pay $49 million in civil penalty to the SEC for failing to keep electronic...

Prager Metis to pay $745,000 fine for negligence in FTX audits

cryptotvplus.com - 15:57

Prager Metis CPAs, LLC has agreed to pay $745,000 to settle charges from the U.S. Securities and Exchange Commission (SEC) related to failures in its...

SEC charges Keurig with making inaccurate statements regarding recyclability of K-Cup beverage pod

poandpo.com - 13/Sep 03:40

The Securities and Exchange Commission charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup...

Commanders look to clean up penalties, red-zone mistakes after gritty win over Giants

washingtontimes.com - 16/Sep 22:00

The Washington Commanders marched into the red zone six times during Sunday's 21-18 victory against the New York Giants. And six times, coach Dan...

Crypto firms approval ‘controlled experiment’, not full licences – SEC

newsclickng.com - 05/Sep 05:53

The Securities and Exchange Commission (SEC) says the recent approval of crypto exchanges is not full license but “a controlled experiment” to...

SEC Charges Crypto Firm for Custody Failures

u.today - 04/Sep 08:43

Legal experts have criticized the SEC’s enforcement action

SEC Charges Crypto Firm for Custody Failures

u.today - 04/Sep 08:43

Legal experts have criticized the SEC’s enforcement action

Rubriques :

SEC charges six Credit Rating Agencies with significant recordkeeping failures

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Six credit rating agencies pay $49m to settle SEC charges

Six credit rating agencies pay $49m to settle SEC charges

Moody's, S&P Global & 4 Others Fined by SEC for Record-Keeping Failure

Moody's, S&P Global & 4 Others Fined by SEC for Record-Keeping Failure

Prager Metis to pay $745,000 fine for negligence in FTX audits

SEC charges Keurig with making inaccurate statements regarding recyclability of K-Cup beverage pod

Commanders look to clean up penalties, red-zone mistakes after gritty win over Giants

Crypto firms approval ‘controlled experiment’, not full licences – SEC

SEC Charges Crypto Firm for Custody Failures

SEC Charges Crypto Firm for Custody Failures

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