United States: SEC Charges Credit Ratings Agency With Disclosure And Internal Controls Violations - Cadwalader, Wickersham & Taft LLP

Mondaq

22 Feb 2021 0 shares 1 views

Mondaq

Published 22 Feb 2021

The SEC charged a former credit ratings agency with disclosure and internal controls failures in connection with undisclosed model adjustments.

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United States: Firm Settles FINRA Charges For Internal Inspection Violations - Cadwalader, Wickersham & Taft LLP

A firm settled FINRA charges for failing to conduct an annual inspection of its branch Office of Supervisory Jurisdiction ("OSJ").

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