Q10. With respect to filing complaints concerning the professional conduct of a CFA Institute member, which of the following is TRUE? A) Only other members can write the Professional Conduct Program staff with a complaint concerning the conduct of another member. B) Anyone can write the Professional Conduct Program staff with a complaint concerning the conduct of any member. C) Anyone can write the Standards and Policy Committee staff with a complaint concerning the conduct of any member.
Q11. A broker and CFA charterholder has been arrested for the crime of murder. Which, if any, of the following could result in the member being summarily suspended from using the CFA designation?
A) Either being convicted or pleading guilty to the crime. B) Both of the results listed here. C) He is acquitted of the crime, but he is barred from continuing to work in the investment industry.
Q12. A CFA charterholder may NOT be suspended without a hearing for which of the following reasons?
A) Failing to respond in writing to charges filed by his/her immediate supervisor. B) Being convicted of murder. C) Failing to complete the annual professional conduct questionnaire two years in a row.
Q13. Steve Jones is a member of CFA Institute but has not earned the CFA designation yet. CFA Institute is investigating Jones’ activities. If Jones declines to cooperate, he: A) is within his right only because it could be self incriminating. B) could be summarily suspended from membership. C) is within his right only because he does not have the CFA designation yet.
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发表于 2009-1-5 15:05
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