NO.PZ201710020100000202
问题如下:
2. Is Stephenson’s Statement 3 correct?
选项:
A.Yes
B.No, because L’organisation is given the authority to enforce regulations by a government agency
C.No, because pressure from its member companies prevents L’organisation from enforcing its rules and standards
解释:
A is correct. L’organisation is an SRO but not an independent regulator, so it is a private entity that is not affiliated with Genovia’s government. SRO’s that are not independent regulators receive authority from their members who agree to comply with the organization’s rules and standards and its enforcement of these.
考点:Classification of Regulations and Regulators
解析 : " L’organisation”是一个SRO ,并且它不是独立的监管者, 因此他的权威可以来自行业内部的自律 ,它的权威来自行业内部的认可 。 SRO内部成员应该积极遵守组织所制定的各项规则条款 。 所以说法三正确 。
想拓展一下,statement 3 也适用于作为independent regulator的SRO么?