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发表于 2008-3-31 21:45 | 只看该作者

Reading 1- LOS a-Q8

following, hearing, without, border, black

A CFA charterholder may NOT be suspended without a hearing for which of the following reasons?

A)

Being convicted of murder.

B)

Being indefinitely barred from registration as a broker.

C)

Failing to complete the annual professional conduct questionnaire two years in a row.

D)

Failing to respond in writing to charges filed by his/her immediate supervisor.

 

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发表于 2008-3-31 21:45 | 只看该作者

The correct answer was D

The CFA Institute member may respond in writing to charges from a supervisor, but this is not a requirement, and it is not a basis for suspension without a hearing. All of the others, including being barred by a governmental agency, constitute grounds for suspension without a hearing.

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