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Adam Wang · 2024年11月16日

这是哪里讲的

NO.PZ2024032003000020

问题如下:

Which of the following statements about RBO Supervision is correct?

选项:

A.

Utilizes the LFBO Management Group (LFBOMG) for risk-based supervision.

B.

Includes continuous monitoring, firm-specific and horizontal target exams.

C.

Central Point of Contact (CPC) responsible for firm supervision.

D.

Supervisory teams assigned for dedicated firm supervision.

解释:

RBO Supervision: (1) Aimed at ensuring firms operate safely, soundly, and meet community and regional needs. (2) Delegated to Reserve Banks with Board oversight. (3) Central Point of Contact (CPC) responsible for firm supervision. (4) Combines continuous monitoring with firm-specific, point-in-time exams. (5) Utilizes the Bank Exams Tailored to Risk (BETR) program for risk-based supervision.

LFBO Supervision: (1) Greater Board staff involvement in substantive topics than RBO supervision. (2) Supervisory teams assigned for dedicated firm supervision. (3) Supervisory plans based on LFBO Management Group (LFBOMG) principles. (4) Includes continuous monitoring, firm-specific and horizontal target exams. (5) Supervisory ratings discussed annually with LFBOMG.

在讲义的什么位置,怎么理解

1 个答案

pzqa39 · 2024年11月16日

嗨,爱思考的PZer你好:


这道题在基础班讲义的最后一篇文章298页。考点是RBO监督和LFBO监督。


A 选项错误:LFBOMG 属于 LFBO 监督,不适用于 RBO 监督。

B 选项错误:横向目标检查属于 LFBO 监督,RBO 监督不包括这一内容。

C 选项正确:RBO 监督明确由中央联络点 (CPC) 负责。

D 选项错误:专门监督团队是 LFBO 监督的一部分,不适用于 RBO 监督。

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