内容如下
I am writing to you on behalf of the Professional Conduct Program at CFA Institute. This letter is to inform you that CFA Institute has denied your application to become a candidate in the CFA® Study and Examination Program.
We note the disclosures you made in response to questions #1 and #2 on the Professional Conduct Inquiry which asks:
1. Suspension: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a temporary suspension from:
participation in the financial services markets OR
association with a financial services institution?
2. Expulsion: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a permanent or indefinite suspension from:
(a) participation in the financial services markets OR
(b) association with a financial services institution?
In accordance with the CFA Institute Board of Governors’ established policy regarding criteria for admission into the CFA Program, the conduct disclosed by you on the Professional Conduct Inquiry form disqualifies you from participation in the June 2013 CFA Study and Examination Program.
If you have reason to believe there are exceptional or unusual circumstances that warrant further review of your enrollment by the Professional Conduct Program, you may submit an appeal of the denial decision. If you choose to submit an appeal, it must be submitted in writing and received by the PCP within twenty (20) days from the date of this letter. Please refer to the attached “CFA Program Applicants Appeal Q & A” for more information regarding the appeal process.
If the PCP does not receive a written appeal of the denial decision within twenty (20) days of the date of this letter (by 31 March 2013), the denial of your CFA Program enrollment will be final and you will have waived all rights to further review of the matter by the PCP. The appropriate application fee will be returned to you.
You may reapply to the CFA Program when you have no disclosures (no “yes” responses) to the eight questions contained on the Professional Conduct Inquiry form.
Thank you for your interest in the program.
Sincerely,
Beth Waddell
Professional Conduct Program
CFA Institute作者: whew1110 时间: 2013-3-12 13:09
