标题: Reading 1- LOS a-Q8 [打印本页]
作者: cfaedu 时间: 2008-3-31 21:45 标题: [2008] Session 1-Reading 1- LOS a-Q8
A CFA charterholder may NOT be suspended without a hearing for which of the following reasons?
A) | Being convicted of murder. |
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B) | Being indefinitely barred from registration as a broker. |
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C) | Failing to complete the annual professional conduct questionnaire two years in a row. |
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D) | Failing to respond in writing to charges filed by his/her immediate supervisor. |
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作者: cfaedu 时间: 2008-3-31 21:45
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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