That makes sense and it seems like getting rid of some of this division of regulatory agencies is very beneficial.

这样就变得更合理,也有利于解决两个不同的,监管机构的领域相相争问题。

耶鲁公开课 - 金融市场课程节选

and I think that since Enron and Worldcom, there had been a lot of regulatory changes

我觉得安然和世通的事情之后，有好多规章调整

美国的会计丑闻 - SpeakingMax英语口语达人

The SROs have complex regulatory equipment, computers that can discover insider trading and the SROs will catch you or they may catch you if you try.

自律监管机构拥有高端的监督设备,能够发现内幕交易的计算机,只要你试图进行内幕交易就可以抓住你

耶鲁公开课 - 金融市场课程节选

The regulatory authorities were starting to look into this -that's fraud to backdate options.

所以监管机构开始调查这个问题,倒签期权是种欺诈行为

耶鲁公开课 - 金融市场课程节选

So, he was going after himself, finding out all the companies that were backdating options, trying to beat the SEC and the regulatory authorities to the conclusion.

所以他自己一路研究下去,找出了所有用倒签期权欺诈的公司,然后试图用这个结论,与证券交易委员会和监管机构抗衡

耶鲁公开课 - 金融市场课程节选

What we've seen is a testing of the system -that we have regulatory requirements, that banks have enough capital -but this regulation is challenging because it's being stressed right now.

我们列举的这些案例都是对银行体系的考验,我们需要加强监管,以确保银行有充足的资本,但监管确实是一项艰巨的任务,因为现在面对的压力更大了

耶鲁公开课 - 金融市场课程节选

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

耶鲁公开课 - 金融市场课程节选

As I say, when the NAIC decides on some regulation, it's only a recommendation to the separate state regulatory commissions.

如前述,当NAIC就某项监管做出决议,对于各个州管理委员会而言,这只是一种建议

耶鲁公开课 - 金融市场课程节选

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

耶鲁公开课 - 金融市场课程节选