SEC charges former S&P staffer

摘要

The US Securities and Exchange Commission shocked the ratings industry last week when it announced charges against a former employee at Standard & Poor's, claiming she misled investors about some CMBS trades that the agency rated. It is the first time the SEC has pursued charges against an individual from a rating agency since the regulator was given broader scope over the agencies under the Dodd-Frank Act in 2010. The charges could lead to a fine, settlement or a sanction barring Barbara Duka from the securities industry.