medium · Asset-Backed Securities clos

An analyst notices that a CLO's CCC bucket concentration has risen from 5% to 9%.

If the deal's limit is 7.5%, what is the immediate consequence for the collateral manager's trading ability?

  1. The manager is prohibited from selling any of the existing CCC-rated assets currently held in the portfolio.
  2. The manager must halt all trading activity entirely until rating agencies formally re-affirm the deal's AAA tranche rating.
  3. The manager can generally only buy new CCC assets if the purchase improves or maintains the current concentration level.
  4. The manager must sell enough assets to bring concentration back down to 5% within a strict 30-day cure period.

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