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Home » SEC Fines Credit Rating Firms Kroll, DBRS for Recordkeeping Failures

SEC Fines Credit Rating Firms Kroll, DBRS for Recordkeeping Failures

    The Securities and Exchange Commission announced charges against credit graders DBRS and Kroll Bond Rating Agency for "longstanding failures to preserve electronic records." The SEC also charged DBRS with violating disclosure and internal control provisions while rating some commercial mortgage-backed securities.

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