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标题: 到底会不会被CFA协会Suspend啊? [打印本页]

作者: ann110726    时间: 2009-2-11 00:50     标题: 到底会不会被CFA协会Suspend啊?

登记2级考试的时候填错了一个问题,昨天收到CFA协会的一封信,说被suspend了,可以写email回去申诉,30天后出final decision

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 disclosure you made in response to question #1 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:

(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 2009 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 1 March 2009), 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. 

 

In addition, the Professional Conduct Program at CFA Institute is in receipt of your June 2009 CFA Program Enrollment Form, Professional Conduct Statement. 

 

The Professional Conduct Statement asked,

 

Since becoming a candidate in the CFA Study and Examination Program, have you been:

 

A.                   The subject of, a defendant to, or respondent in any investigation, civil litigation, arbitration, or other action or proceeding in which your professional conduct, in either a direct or supervisory capacity, was at issue, or

B.                   The subject of a written complaint regarding your professional conduct in either a direct or supervisory capacity?

 

We note that you marked, “Yes, not previously disclosed to CFA Institute” on the Professional Conduct Statement. 

 

Please advise, in writing, whether your “Yes” response was marked in error.

 

Thank you for your assistance.  If you have any questions, please feel free to contact me at pcprogram@cfainstitute.org.

 

Thank you for your interest in the program.

到底会不会被suspend啊?

他们自己都问我是不是marked error了,应该每年这种事很多吧。有没有有经验的,出来冒个泡。担心死了


作者: cfainfo    时间: 2009-2-16 20:45

回复邮件解释由于操作失误,实际上没有以上问题,不回复将取消考试资格。


作者: zhouyuyuzhou    时间: 2009-9-4 14:46

我也遇到了相同的问题,请问你后来怎么解决的啊






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