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blacklark · 2021年10月04日

不是所有的SRO都是independent regulator,只有政府授权的才是

NO.PZ2018091706000049

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 a new rule can be implemented by "Juydee" ; while "Wedidey" can use government funding to operate.

Bob’s conclusion is

选项:

A.

only correct about "Juydee".

B.

only correct about "Wedidey".

C.

Both correct.

解释:

A is correct.

考点:Classification of Regulations and Regulators

解析:因为"Juydee"是独立的regulator,因此它是获得政府机构授权的,所以有资格制定并实施准则。但是"Wedidey"是SRO,所以它不能依赖于政府的出资来运作。所以本题A选项正确。

何老师课上特别强调过,不是所有的SRO都是independent regulator,只有政府授权的才是;那么不是independent regulator的SRO难道不可以接受政府出资么??我理解SRO和independent regulator是两个有部分重叠的集合,两者并不存在包含与被包含的关系。

1 个答案

丹丹_品职答疑助手 · 2021年10月07日

嗨,从没放弃的小努力你好:


同学你好,不管是SRO 还是independent regulator一定是不可以接受政府出资的,资金方面都是独立的,只是后者可以被政府授权或者认可

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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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