The following options do not belong to the three major objectives of securities supervision identified by IOSCO in the Objectives and Principles of Securities Supervision ( )
A. Protect investors
B. Ensure market fairness, efficiency and transparency
C. Reduce System Risk
D. Strengthen Law Enforcement Cooperation
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With regard to the Memorandum of Understanding, the following statements are incorrect: ( )
A. The Memorandum of understanding is usually not legally binding.
B. The Memorandum of Understanding is the securities authority of the economic entity concerned, rather than the contracting body of international treaties.
C. The Memorandum of Understanding generally provides for the exchange of information, law enforcement cooperation and technical assistance.
D. The Requesting Party may obtain legal relief under the Memorandum of Understanding.
The following is the correct option for the memorandum on international banking supervision cooperation ( )
A. Memorandum generally has legal effect.
B. Memorandum can realize the sharing of regulatory information.
C. Memorandum may supersede the domestic law of the parties.
D. The memorandum generally deals with confidentiality requirements.
Which of the following statements is true about Basel I, Basel II and Basel III ( )
A. Basel II mainly modifies the numerator part of capital adequacy ratio stipulated in Basel I, and Basel III mainly modifies the denominator part of capital adequacy ratio stipulated in Basel I
Basel III has increased the proportion of supervision capital (or regulatory capital) and tightened the requirements of this capital
C. Basel III increases the requirements of leverage ratio
D. Basel II and Basel III not only stipulate supervision capital standards, but also liquidity standards
Which of the following statements is true about international banking regulation cooperation ( )
As a general rule of international banking regulation, consolidated regulation at home country emphasizes the regulation power and responsibility of the home country of international banks, excluding the host country
B. Although the Memorandum of Understanding on Regulatory Cooperation does not have the legal attribute, it forms the main channel of international banking regulation cooperation; although the mutual legal assistance treaty has the legal attribute, its function is limited
C. The regulation group is a new form of international banking regulation cooperation after the global financial crisis in 2008
D. For many years, the Basel Committee has emphasized not only the division of international banking regulation responsibilities, but also the formulation and coordination of international regulation standards
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