medium · Asset-Backed Securities clos

If a CLO manager is operating during the reinvestment period and the portfolio is failing its Diversity Score test, what is the 'Maintain or Improve' rule's specific requirement for a new trade?

  1. The new trade must lift the Diversity Score by a minimum of five points to be permitted under the covenant.
  2. The trade is only permitted if it simultaneously improves both the WARF test and the WAS test alongside diversity.
  3. The manager must halt all trading in obligor names within industries where concentration is already elevated.
  4. The new trade must not result in a Diversity Score that is lower than the score immediately prior to the trade.

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