Morningstar Credit Ratings, LLC: $3.5M Fine

Administrative Order imposing a fine of $3.5 million against Morningstar Credit Ratings, LLC for breaching “a conflict of interest rule, by issuing or maintaining credit ratings where MCR employees who participated in determining or monitoring the credit ratings also participated in the sales or marketing of a product or service of MCR”, before the U. S. Securities and Exchange Commission.

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Pages: 9

Date: May 15, 2020

Defendant(s)/Respondent(s): Morningstar Credit Ratings, LLC

Case Number: Xx Xx Xx

Topic: Investment, Regulatory

Plaintiff(s)/Applicant(s): U. S. Securities and Exchange Commission

Topics

Investment Regulatory USA

Keywords

Morningstar Credit Ratings, LLC U. S. Securities and Exchange Commission

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