Credit rating agencies
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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.
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S&P fined for premature public credit ratings release
Inadequate internal control mechanism and other infringements result in a €1.1m ($1.19m) fine.
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SEC publishes annual report on rating agencies
The report highlights compliance issues connected to communication and effective internal controls.