US House Panel Votes To Beef Up Regulations For Credit-Raters
October 28 2009 - 9:49AM
Dow Jones News
A bill that would impose more regulations on credit-ratings
agencies and make it easier for investors to win lawsuits over
shoddy ratings cleared a key U.S. House panel on Wednesday in a
49-14 vote.
The credit-ratings bill is the latest to be approved by the
House Financial Services Committee as it works toward implementing
a major regulatory revamp of the country's financial system.
Another vote to bolster the U.S. Securities and Exchange
Commission's investor protection powers is expected later on
Wednesday.
The credit-ratings bill, drafted by Rep. Paul Kanjorski (D.,
Pa.) aims to address concerns about the role that credit-raters
played in the financial crisis after they gave overly generous
ratings to toxic securitized products. Critics say the big three
raters--Standard & Poor's, Moody's and Fitch Ratings--are
plagued by an inherent conflict of interest because debt issuers
pay them to rate their products.
The bill approved Wednesday tries to address those conflicts
without changing the companies' business model.
It would for the first time establish an office within the SEC
to oversee ratings firms and ensure their ratings are accurate and
not ridden with conflicts. Under the bill, the SEC would be able to
review raters' internal policies and methodologies to make sure
they are performing their due diligence.
The most controversial provision in the bill would make it
easier for investors to win civil lawsuits against raters that
"knowingly or recklessly" issue poor-quality ratings. The ratings
agencies strongly oppose the provision.
The SEC already has approved some rules clamping down on
conflicts at ratings agencies, and recently proposed numerous other
rules aimed at beefing up disclosure.
This bill would also try to address conflicts by requiring the
agency to impose new rules and require raters to disclose their
compensation arrangements. The SEC would also be able to sanction
firms that violate securities laws. In addition, credit ratings
organizations would be required to appoint compliance officers, who
would be responsible for managing conflicts of interest and
assessing and reviewing internal controls.
The measure would prohibit linking a compliance officer's
compensation to the business performance of a credit-ratings agency
to ensure independence.
-By Sarah N. Lynch, Dow Jones Newswires; 202-862-6634; sarah.lynch@dowjones.com