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小呀小田螺 · 2021年10月20日

老师,没搞明白这些概念

NO.PZ2018091706000050

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 companies that subordinate to "Wedidey" should comply with the rules which set and enforced by "Wedidey". Bob’s conclusion is

选项:

A.

correct

B.

incorrect

C.

Uncertain

解释:

A is correct.

考点:Classification of Regulations and Regulators

解析:"Wedidey"是一个SRO,因此他的权威不是来自政府授予,而是来自行业内部的自律。SRO内部成员应该积极遵守组织所制定的各项规则条款。所以Bob的推论正确。

为什么已经是SRO了,但又不是Independent regulator?SRO的定义就是funded independently的呀


麻烦老师解释一下,谢谢!

1 个答案

丹丹_品职答疑助手 · 2021年10月22日

嗨,努力学习的PZer你好:


同学你好,SRO是不需要政府授权并且资金独立运作的;Independent regulator不能依靠政府资金,但是是由政府授权哒


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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!

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