其后,各个证券业自律组织(self-regulatory organizations),如美国证券交易所、全美证券交易商协会、芝加哥期货交易所等纷纷成立了仲裁部门,制定自己的仲裁规则,对证券纠纷进行仲裁。
基于76个网页-相关网页
...心得体会-言小范文网 督局(Options Regulatory Surveillance Authority,ORSA)等在内的自律机构(self-regulatory organizations,SRO)两个层级。此外,发达的媒体监督、回报于非法获利的10的知情人举报制度等,也的辅助手段。
基于26个网页-相关网页
但是,包括NASD在内的自律性组织(self-regulatory organizations,SROs)有关适合性的规则,对于证券经纪自营商而言充其量仅仅是一项自律性的业务道德标准。
基于20个网页-相关网页
...心得体会-言小范文网 督局(Options Regulatory Surveillance Authority,ORSA)等在内的自律机构(self-regulatory organizations,SRO)两个层级。此外,发达的媒体监督、回报于非法获利的10的知情人举报制度等,也的辅助手段。
基于16个网页-相关网页
The self-regulatory organizations, SROs, are industry organizations that regulate the industry.
自律监管机构,是业内规范行业行为的组织
According to their division of work, all self-regulatory organizations shall go on a tour of inspection of the investor education, and timely submit the inspection reports.
各自律性组织要按照分工要求,对会员单位投资者教育工作开展情况进行巡查,及时通报检查情况。
Dark patterns also can be addressed on a self-regulatory basis, but only if organizations hold themselves accountable, not just to legal requirements but also to industry best practices and standards.
黑暗模式也可以在自我监管的基础上得到解决,但前提是各组织要自己担负起责任,不仅要遵守法律要求,还要遵守行业最佳实践和最高标准。
Then I want to talk in the next lecture about regulation, which means government oversight of financial markets and not just government oversight, there are also the so-called self-regulatory organizations that are created in the financial industry to self regulate.
接下来的一课,会讲到金融监管,政府对金融市场的监管,不仅仅如此,还有金融界为了,监督自身而创设的,我们称为,自我监管的组织
The self-regulatory organizations, SROs, are industry organizations that regulate the industry.
ROs,自律监管机构,是业内规范行业行为的组织
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