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标题: Reading 1:Code of Ethics and Standards of Professional Condu [打印本页]

作者: mayanfang1 时间: 2008-12-29 15:42 标题: [2009] Session 1-Reading 1:Code of Ethics and Standards of Professional Condu

Q6. With respect to the CFA Institute enforcement of the Code and Standards, which of the following is NOT a possible disciplinary sanction?

A) Payment of a fine.

B) Private censure.

C) Refusing to allow a candidate for the CFA designation to take one of the exams.

Q7. Which of the following correctly lists disciplinary sanctions in order of severity, lowest to highest, that the Designated Officer may take as a result of an investigation?

A) Suspension of the CFA designation, public censure, revocation of the CFA designation.

B) Suspension of membership, revocation of membership, public censure.

C) Public censure, suspension of the CFA designation, revocation of the CFA designation.

Q8.A covered person who rejects a stipulation agreement:

A) may request an appeal to a summary suspension review panel.

B) will typically not be subject to further disciplinary procedure unless a new investigation is initiated.

C) may request an appeal to a hearing panel.

作者: mayanfang1 时间: 2008-12-29 15:43

答案和详解如下：

Q6. With respect to the CFA Institute enforcement of the Code and Standards, which of the following is NOT a possible disciplinary sanction?

A) Payment of a fine.

B) Private censure.

C) Refusing to allow a candidate for the CFA designation to take one of the exams.

Correct answer is
A)

CFA Institute does not impose fines. All of the other choices are possible sanctions. CFA Institute may suspend a candidate from further participation in the CFA program.

Q7. Which of the following correctly lists disciplinary sanctions in order of severity, lowest to highest, that the Designated Officer may take as a result of an investigation?

A) Suspension of the CFA designation, public censure, revocation of the CFA designation.

B) Suspension of membership, revocation of membership, public censure.

C) Public censure, suspension of the CFA designation, revocation of the CFA designation.

Correct answer is
C)

Public censure is less severe than suspension from using the CFA designation, and suspension is less severe than revocation.

Q8.A covered person who rejects a stipulation agreement:

A) may request an appeal to a summary suspension review panel.

B) will typically not be subject to further disciplinary procedure unless a new investigation is initiated.

C) may request an appeal to a hearing panel.

Correct answer is
C)

A covered person who rejects a proposed stipulation agreement may request an appeal to a hearing panel. This must be done in 30 days, or the matter will be referred automatically if no action is taken. A stipulation agreement is not relevant to a case warranting a summary suspension.

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