SEC
Whistleblower
Attorneys

August 28, 2018

Moody’s Investors Service, Inc.

Trading and Pricing

SANCTION AMOUNT: $15000000

Defendants: Moody’s Investors Service, Inc.

Moody’s agreed to settle charges that it failed to establish and document an effective internal control structure as to RMBS rating models that it had outsourced from a corporate affiliate, and that it failed to maintain and enforce existing internal controls that should have been applied to the models. Ratings were found in error due to flaws in the models, and ratings that deviated materially from model-implied ratings were not documented.

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