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陳泰傑 · 2020年08月04日

问一道题:NO.PZ2018091706000050 [ CFA II ]

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。

SRO根據強化串講的那個表格是是需要政府授權但是資金來源不依賴政府,但是這題説他沒有政府授權,為什麼不能被歸類為outside bodies 。outside bodies算是SRO嗎 還是不相關
1 个答案
已采纳答案

丹丹_品职答疑助手 · 2020年08月05日

嗨,爱思考的PZer你好:


同学你好,可以既是outside bodies 又是SRO 

但是SRO的定义是funded independently, rather than by the government。所以更符合题干。请知悉


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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