| CANDIDATE RESPONSIBILITIES Code and Standards
When you enroll in the CFA Program, and ultimately if you are to become a CFA charterholder, you are doing more than simply mastering a Body of Knowledge, you are committing to the AIMR Code of Ethics and Standards of Professional Conduct. This commitment is not to be taken lightly; it demands that, above all else, you put the interests of your clients first. There is nothing that AIMR does as an organization that is of greater importance than promoting the use of its Code and Standards by investment professionals and enforcing the Code and Standards among AIMR members and CFA candidates. These are standards of integrity that you must abide by as long as you are a CFA candidate and/or an AIMR member. Sponsors
To be awarded the CFA charter, candidates must supply AIMR with acceptable professional sponsors. Candidates will be provided with complete information regarding sponsors upon enrolling for the Level III examination. Address and Test Center Changes
Address changes must be submitted to Information Central via fax, mail, e-mail, or via the Candidate Services section of the AIMR Web site. Failure to notify AIMR of an address change may prevent or delay receipt of important information. Changing your address will not change your test center. To request a test center change, complete and submit the Test Center Change Request form.Your request must be received in writing by AIMR at least 60 days before the chosen examination date. Tickets
Admission tickets for the examinations will be distributed in April for the June examinations and October for the December Level I examinations. Candidates must present their ticket and a current government-issued photo identification for admittance on examination day. Tickets will indicate the examination date, candidate number, candidate name, level, test center code, room/section, and test center address. Candidates should carefully examine their tickets and notify AIMR immediately by phone, fax, or e-mail of any problems. Candidates will not be permitted entry to the testing room without a ticket and valid identification. Before the Examination
AIMR recommends that you visit your test center prior to examination day to become familiar with traffic patterns, parking availability, and public transportation options or constraints. Calculator Policy
Candidates are permitted to use only two models of business calculator during the examination: either the Texas Instruments BAII Plus or the Hewlett-Packard 12C . You are encouraged to purchase and practice with one of these calculators. If you wish to bring a back-up calculator with you to the examination, it must be one of these two models. Both calculators are available through retail. Purchasing information can be found on the Internet as follows:
Texas Instruments: www.education.ti.com/
Hewlett-Packard: www.shopping.hp.com/ Prior to entering the testing room, all programmable calculator memory must be cleared. Proctors are instructed to confiscate unauthorized calculators. Test Center Regulations
Test center supervisors and proctors enforce a number of test center regulations to ensure that all candidates are provided with an appropriate testing environment. These regulations include: ·Identification. Proctors will deny admission to anyone who does not present an acceptable form of identification. To be considered acceptable, the identification must be current and valid, must contain your photo, must be issued by a government agency, and must be single document. There are no exceptions to this policy. AIMR's preferred form of identification is a valid passport.
· Pledge. Candidates will be required to sign a pledge that they have not given or received assistance during the examination.
· Time. Proctors will keep the official time and will tell candidates when to start and stop work on each separately timed session. Candidates may take noiseless watches to the test center. Watches with engaged audible alarms or timers are not permitted.
· Testing personnel. Testing personnel will circulate throughout the testing room to ensure that candidates are adhering to the conditions, requirements, policies, and procedures for taking the CFA examination.
· Recording answers. All multiple choice and item set answers must be recorded on your answer sheet using a number two, or HB, pencil. All essay answers for Levels II and III must be recorded in English on the correct answer pages using blue or black ink. Answers recorded on the question pages will not be scored.
· Scratch paper. Scratch paper is not permitted. You are permitted to do scratch work in two places in the examination book: on the question pages or on the extra pages in the back of the essay book.
· Rule Violations. Testing personnel will report to AIMR any violation of AIMR testing rules or policies that occurs during the examination.
· Examination materials. All examination materials, including examination books and answer sheets, are the property of AIMR and must be returned to AIMR by testing personnel after every administration. Candidates may not remove any materials from the testing room. If you do not return your examination book and answer sheet before you leave the testing room, your examination will not be graded. Legal action may be taken against any candidate who removes an examination book and/or reproduces it.
Misconduct
If you engage in any misconduct during the examination -such as creating a disturbance; giving or receiving help; working on or reading the examination during a time not authorized by the testing personnel; removing examination materials or notes from the testing room; taking part in an act of impersonation or other forms of cheating; failing to follow the directions of testing personnel; using books, unapproved calculators, headsets, rulers, listening devices, paging devices (beepers), cellular phones, recording or photographic devices, papers of any kind, or other aids; or failure to follow AIMR 's conditions, requirements, policies or procedures -you may be dismissed from the test center and may be subject to other penalties for misconduct, including voiding of examination results and suspension or termination of your candidacy in the CFA Program. Candidates are "covered persons " under AIMR Bylaws and the Rules of Procedure for Proceedings Related to Professional Conduct (Rules of Procedure).Therefore, any proceeding/investigation of a candidate 's alleged misconduct is considered a professional conduct matter and conducted pursuant to the Rules of Procedure. The Rules of Procedure can be found on the AIMR Web site at http://www.aimr.org/standards/ethics/conduct/ or by contacting Information Central. Liability for Personal Articles
The following items ARE NOT PERMITTED in the testing room. AIMR recommends that you leave such items at home or in your car. ·Baggage of any kind such as backpacks, handbags, tote bags, briefcases, or luggage
·Study materials including notes, papers, textbooks, study guides, scratch paper, present/future value tables, or calculator manuals
· Cellular telephones, pagers, headsets, computers, electronic organizers, personal data assistants, or any other remote communication or photographic devices
The following items may be carried into the testing room in your pockets or in transparent bags. You may use more than one transparent bag, if needed. Transparent bags must be placed under your chair and may be accessed during the examination. ·Examination Admission Ticket
·Current government-issued photo identification
·Approved calculator(s),including calculator case(s)
·Writing instruments (pencils for Level I, pens and pencils for Levels II and III)
·Wallet (money purse)
·Erasers, calculator batteries, pencil sharpeners, eyeglasses, earplugs
·Medicine, tissues, and other medically necessary or personal items
·Food and drinks (containers cannot be opened in the testing room and all food and drinks must be consumed outside of the testing room)
Testing personnel may request to inspect your bag(s) at check-in to ensure that prohibited items are not carried into the testing room. Please comply with all such requests. If testing personnel find items that are not permitted in the testing room, you will be required to place them in a designated area away from the testing room during the examination. Neither AIMR nor the test center, testing personnel, or vendors will assume responsibility or liability for lost, stolen, or damaged personal property. Testing Concerns
AIMR has an online Comment Center for candidates, located in the Candidate Services Section of the AIMR Web site. After taking the examination, candidates may go to the Center for either of the following: If you believe that an examination question contained an error, please submit the information via the Examination Content link within five days of the examination. Your submission will be acknowledged but you will not receive an individual response to your submission.
If you have comments about your test center, please submit them via the Examination Administration link within 30 days of the examination. AIMR will respond to your comments within 60 days of receipt.
The Comment Center is the ONLY way for candidates to convey examination-related comments to AIMR after the examination. Mail, fax, or e-mail submissions cannot be guaranteed consideration. Reservation of Right to Cancel Examination
AIMR may determine to change the date, time, or conditions of the administration of the examination or cancel the administration of the examination, either entirely or at a particular test center or centers, if AIMR, in its sole discretion, determines that any such action is needed to protect the integrity of the CFA Program or because administration of the examination is hindered by any cause that could not be reasonably prevented by AIMR, including acts of God, such as fire, flood, earthquake, storm, or other natural disaster; a public enemy, or a military authority. Policy Changes
AIMR may change its conditions, requirements, policies, and procedures governing the CFA Program and AIMR membership from time to time. Candidates and members are required to adhere to the revised conditions, requirements, policies, and procedures which will be published in various AIMR publications including the CFA Candidate Bulletins, AIMR newsletters, AIMR Bylaws, and on AIMR 's Web site.
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发表于 2005-7-15 17:16
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