我没有及时上诉，会不会被取消candidate资格啊？
我2月16日收到ups电话和邮件，cfa教材过关要提供资料（过了几天我就收到教材了，现在整箱书还在办公室）。我以为我报名已被确认了。于是没有再关注cfa发来的邮件（呢段时间得闲死5得闲病啊！）！
4月17日，信用卡短信账单上有-640美元，电话查询得知是cfa institution的退款！我立刻登陆邮箱，才发现，已被取消了资格！
我还是回复了邮件，说明情况，希望pcp可以给我一次机会。
真悔恨犯下如此stupy的mistakes！悔不该不检查答案（CFA网站网页打开速度奇慢啊！）！悔不该不及时查看cfa的邮件！大家要引以为鉴啊！
请问：
（1）“CFA Institute has denied your application to become a candidate in the CFA? Study and Examination Program. ” 和 “your CFA Program enrollment will be denied” 具体是什么含义？我不能参加此次2级考试？明年可以继续参加吗？还是我已经不是cfa会员，要重新入会，重新考1级？
（2）我没有找到“CFA Program Applicants Appeal Q & A”，在FAQs里面也没有，于是我就直接回复邮件了。上诉程序应该是怎样的？直接回复邮件可以吗？
4月15日邮件：大意是：已经退还640美元，请查收。
3月14日的邮件：
Below is an email from the CFA Institute Professional Conduct Program dated 17 February 2009. As of today, we have not heard from you. As a reminder, because we have not heard from you, your CFA Program enrollment will be denied.
2月17日的邮件：
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 #1-3 on the Professional Conduct Inquiry which ask:
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?
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?
3. Prohibitions and Restrictions: In the last five years, has a regulatory organization or judicial court denied you
trading privileges or prevented you from:
(a) Trading on a securities or contract market, OR
(b) Acting as a person required to be registered under a law or regulation, OR
(c) Acting as an affiliated person or employee of 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 8 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.
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, matter currently under investigation by CFA Institute” on the Professional Conduct
Statement. According to our records you have never disclosed a professional conduct matter to the Professional
Conduct Program.
Please advise, in writing, whether your “Yes” response was marked in error or if you should have checked “No” or
“Yes, not previously disclosed to CFA Institute.”
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 | 
发表于 2009-4-19 01:26
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