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Due Diligence › Credit Rating Agencies

Dorsey & Whitney LLP

Hong Kong Securities Laws Violations: SFC’s Case Against Moody’s – Part 2

Dorsey & Whitney LLP on

On March 31, 2016, the Securities and Futures Appeals Tribunal (“SFAT”) upheld the disciplinary action of the SFC against Moody’s. This landmark decision is the first of its kind, as a disciplinary action brought by the...more

Dorsey & Whitney LLP

Can an Enforcement Standard be Discerned from the SFC’s Case Against Moody’s?

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The hearings have recently concluded in Moody’s appeal of the November 24, 2014 decision of Hong Kong Securities and Futures Commission (the “SFC”) to fine Moody’s HK$23 million for its release of a report applying a “red...more

Cooley LLP

SEC Adopts Rules For Credit Rating Agencies

Cooley LLP on

At an open meeting this morning, the SEC adopted, by a vote of three to two, rule amendments and new rules to implement provisions of Dodd-Frank applicable to credit rating agencies registered as nationally recognized...more

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