CSC V1 Chapter3 课后作业

Q2, A是NRD 的概念, NRD是一个网站, 所有想要售卖基金证券的投资顾问都要先注册, 得到批准后, 才可以售卖基金
B选项不对是因为NRD不是用来给投资者开户的
C选项是不对的因为投资顾问想要在多个省售卖证券基金不需要每个省单独申请, 只要申请一次同时选择不同的省递交
D不对因为只要注册了NRD的投资顾问可以被所有不同的省的regulator查到
 
Q21
“Responsibility for the affairs of the Bank of Canada rests with a Governing Council composed of the governor, the senior deputy governor, and four deputy governors. Decisions are made by consensus, rather than by majority vote. ” 央行的事务由governing council负责决定, 所有管理人员必须达成一致才能开始执行某一事务