Moody’s spent just 15 minutes of its most recent investor day discussing legal claims. General counsel John Goggins rattled off reasons why “almost three dozen of the more than four dozen US ratings cases have been dismissed or withdrawn. “As we get closer to the six-year anniversary of the start of the credit crisis, it is going to get more difficult to bring these types of claims, he said.
穆迪在最近的一个投资者接待日仅花了15分钟讨论法律诉讼问题。该公司法律总顾问约翰·戈金斯(John Goggins)不假思索地解释了,为什么在美国对评级机构提起的约50起诉讼中,有近40起被法院拒绝受理或原告主动撤回。他说:“目前距离信贷危机爆发已近六年,提起此类诉讼的难度正进一步加大。
One unknown in the US remains the possibility of civil action by regulators, including the SEC and the Department of Justice, which are probing S and P’s ratings of structured products, according to a McGraw-Hill filing in July. The SEC has taken no enforcement actions over ratings, though two years ago it scolded Moody’s for considering the risk of reputational damage instead of just financial factors when deciding not to downgrade some derivatives in 2007.
美国当前仍不明朗的一点是,包括美国证交会(SEC)以及美国司法部(US Department of Justice)在内的监管当局是否会对评级机构提起民事诉讼;标普母公司麦格劳希尔(McGraw-Hill)7月提交的一份文件显示,这两家机构正在调查标普对结构化金融产品的评级情况。到目前为止美国证交会并未对评级机构采取强制行动,虽然两年前它曾批评穆迪在2007年决定不下调某些衍生品的评级时,参杂了对自身声誉风险的考虑,而不是只考虑金融因素。
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