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Shafengler · 2019年10月02日

问一道题:NO.PZ2018091706000039 [ CFA II ]

问题如下图:

选项:

A.

B.

C.

解释:

1.讲义里没找到A,请指明是哪一点

2.A是“争论解决问题系统?么

3.C为何不可理解为是commerce的

4.没在讲义里找到C,请指明是哪一点

3 个答案

mino酱是个小破货 · 2019年10月06日

可以这么理解吗,regulatory commerce相当于商法,商业法案涉及实体行业与金融业无关,B、C为金融业,所以商业法案不涉及到监管。谢谢

Shafengler · 2019年10月06日

好哒~谢谢🙏

源_品职助教 · 2019年10月02日

不客气

源_品职助教 · 2019年10月02日

A选项,属于“IOSCO’s Objectives and Principles of Securities Regulation”具体属于第七条,原版书中有列举,我再这里引用下

“ 7 Dispute Resolution System
7.1 a fair and efcient judicial system (including the alternative of arbitration or other alternative dispute resolution mechanisms)
7.2 enforceability of court orders and arbitration awards, including foreignorders and awards”

是可以理解为争议解决机制

 

C选项也可以从下面原版书原话中找到结论

Many of the rules oriented toward transparency, equitable access to information (which, in
turn, encourages capital formation), and protecting small investors implicitly serve to promote confdence in the markets.
咱们讲义上是列举了最重要的内容,不可能把原版书所有语句都罗列,所以这题可以当做补充知识点记忆一下即可。

 

Shafengler · 2019年10月02日

Ok, thx

Carol · 2021年11月09日

我也觉得挺不全的。。

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