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l_hhh · 2022年01月28日

SRO可以enforce吗?

NO.PZ2018091706000050

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。

我理解SRO可以set制定政策,但是不是政府部门可以有权enforce吗?

1 个答案

笛子_品职助教 · 2022年01月28日

嗨,爱思考的PZer你好:


我理解SRO可以set制定政策,但是不是政府部门可以有权enforce吗?


可以enforce,但是enforce的内容不一样。


SRO但不属于 independent regulator,它enforce的权力,不是来自政府授权,而是来自其他会员。


比如CFA协会就是行业自律组织,并且不属于 independent regulator,你如果加入CFA协会成为会员,就必须遵守道德规范,不遵守的话,它就可以enforce。



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