NO.PZ2018091706000049
问题如下:
Recently Analyst Bob is studying regulatory environment in a country. He finds that
1. "Juydee" is an independent regulator but not a SRO.
2. "Wedidey" is a SRO but not an independent regulator.
Bob conclude that a new rule can be implemented by "Juydee" ; while "Wedidey" can use government funding to operate.
Bob’s conclusion is
选项:
A.only correct about "Juydee".
B.only correct about "Wedidey".
C.Both correct.
解释:
A is correct.
考点:Classification of Regulations and Regulators
解析:因为"Juydee"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是"Wedidey"是SRO,所以它不能依赖于政府的出资来运作。所以本题A选项正确。
老师,还是有点理不清independent regulator,SRO,non-SRO的关系,您看我下述理解对吗?
1、independent regulator是独立监管者,由政府授权,不受政府资助。
2、independent regulator按照是否自发可以分为SRO和non-SRO,因此SRO和non-SRO都属于independent regulator。(请问这么分类是否正确,不正确的话,他们的关系又是什么呢)
3、SRO是行业自发,由政府授权,不受政府资助。(如FINRA)
4、non-SRO非行业自发,由政府授权,不受政府资助。(如PCAOB)
5、有没有一些independent regulator既不属于SRO又不属于non-SRO呢?