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Diana · 2024年05月12日

SRO可以颁布administrative regulations吗?

NO.PZ2023041102000047

问题如下:

Genovia has recently introduced a new accounting statute. In Genovia, there is an independent regulator—“Le régulateur.” Le régulateur is not a self-regulating organization (SRO). There is also an SRO—“L’organisation.” L’organisation is not an independent regulator.

In his research report, Mike makes the following statements:

Statement 1: Le régulateur has been given legal authority by the government to enforce the new statute.

Statement 2: L’organisation issues administrative regulations related to the new statute using government funding.

Statement 3 L’organisation has member companies that accept the authorization of L’organisation to set and enforce rules and standards.

Which of Mike’s statements regarding Le régulateur and L’organisation is correct?

选项:

A.Only Statement 1 is correct. B.Only Statement 2 is correct. C.Both Statement 1 and Statement 2 are correct.

解释:

Le régulateur, as an independent regulator but not an SRO, has legal authority from the Genovia government to regulate. Therefore, Le régulateur both enacts and enforces regulations related to the new accounting statue in Genovia.

作为一个独立的监管机构,而不是SRO, Le rgulateur拥有Genovia政府的法律授权进行监管。

因此,Le rgulateur能在Genovia颁布和执行与新会计法规相关的法规。

SRO可以颁布administrative regulations吗?

1 个答案

笛子_品职助教 · 2024年05月13日

嗨,努力学习的PZer你好:


SRO可以颁布administrative regulations吗?

Hello,亲爱的同学~

单独的SRO是不能颁布和执行法律法规的。

除非这个SRO也是独立监管者。

如果一个组织,既是SRO,也是独立监管者,那么这个组织可以颁布和执行法律法规。


如果只是SRO,它只能公布自律性约定。

单独的SRO,一个很好的例子,就是CFA协会。

CFA协会并不能代替政府执行法律。

但CFA协会可以发布ethics,并要求CFA会员遵守Ethics。

只是ethics不是法律法规,本身不具有法律效应。

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