By Jaclyn Jaeger2021-02-17T16:21:00
The SEC has filed a civil action against Morningstar Credit Ratings alleging the former credit ratings agency violated disclosure and internal controls provisions of the federal securities laws in rating commercial mortgage-backed securities.
2022-06-08T13:57:00Z By Kyle Brasseur
Morningstar Credit Ratings agreed to pay a civil penalty of $1.15 million to resolve charges of disclosure violations and internal control failures levied by the Securities and Exchange Commission last year.
2020-05-18T19:43:00Z By Jaclyn Jaeger
Morningstar Credit Ratings has agreed to pay $3.5 million to settle SEC charges for violating a conflict of interest rule designed to separate credit ratings and analysis from sales and marketing efforts.
2025-08-19T14:00:00Z Provided by Orion
This webinar tackles the current legal landscape head-on, giving compliance officers a practical lens on the latest developments impacting your oversight responsibilities.
2025-08-18T14:12:00Z By Oscar Gonzalez
The owner of a water machine vending company and a portfolio manager were allegedly behind a Ponzi-like scheme that raised more than $275 million, according to the U.S. Securities and Exchange Commission.
2025-08-15T18:59:00Z By Aly McDevitt
As regulators shift toward rewarding transparency, self-regulation and self-reporting, the way PFS Investments handled a longstanding problem serves as an example of how proactive remediation can turn a costly compliance error into a manageable regulatory outcome.
2025-08-15T18:26:00Z By Adrianne Appel
The Department of Justice says two Mexican businessmen living in Texas allegedly bribed Mexican officials to secure $2.5 million in contracts with Petróleos Mexicanos, Mexico’s state-owned oil company, and a subsidiary.
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