Which of the following statements about the securities holding model and the protection of investors' rights and interests is wrong ( )
After the establishment of the central depository system or institution, international securities holdings have changed from direct holdings to indirect holdings
B. The usual form of international securities holding is direct holding
C. In order to protect the rights and interests of investors under the indirect holding mode, the United States created trust ownership, Germany created joint ownership on the basis of ownership, and Britain created an independent securities equity system
D. The current international conventions on indirect holdings of international securities include the Hague Securities Convention and the Geneva Securities Convention. The former is in force and the latter is not yet in force. The former is the convention on the conflict of laws and the application of laws concerning indirect holding of cross-border securities and the latter is the substantive law provisions concerning indirect holding of cross-border securities
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Which of the following statements is true about international or transnational securities ( )
A. One of the major differences between international and domestic securities is that the currency of funds raised is different. The former is foreign currency and the latter is domestic currency
B. One of the major differences between international and domestic securities is that the issuers and investors of international securities usually belong to different countries or economic entities
C. The issuance and trading of international securities shall normally be governed by the securities law of the home country of the international securities issuer
D. One of the major differences between international securities and domestic securities is that the location of the issuer of international securities and the location of securities fund-raising usually belong to different economies
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
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.
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