Violation Tracker Individual Record
Date:October 26, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
The SEC accused credit rating agency DBRS Inc. of misrepresenting its surveillance methodology for ratings of certain complex financial instruments during a three-year period. The firm agreed to pay nearly $6 million to settle the case.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
Source of Data:
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