medium · Asset-Backed Securities

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 existing CCC assets.
  2. The manager is required to stop all trading until the rating agencies re-affirm the AAA 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 the concentration back to 5% within 30 days.

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