| 我当时明明记得全部选的NO 怎么会这样啊！ 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® Program.
We note the disclosures you made in response to questions #1-8 on the Professional Conduct Inquiry form 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: participation in the financial services markets OR 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: Trading on a securities or contract market, OR Acting as a person required to be registered under a law or regulation, OR Acting as an affiliated person or employee of a financial services institution?
| 4. Convictions:
In the last five years, have you been convicted of a crime punishable by less than one year in prison or jail (or otherwise defined as a misdemeanor) involving lying, cheating, stealing or other dishonest conduct? Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)?
| 5. Damage Claims: In the last five years, has your professional conduct, in either a direct or supervisory capacity, been the subject of litigation, arbitration, a complaint, or other claim for damages that was resolved for an amount exceeding $20,000 (US)?
| 6. Disciplinary Action: In the last five years have you been the subject of disciplinary action by a regulatory organization, judicial court, or financial services institution that resulted in withholding of commissions or a monetary fine in an amount exceeding $20,000 (US)?
| 7. Assisting in a Violation: In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to violate a securities or commodities related law, rule or regulation?
| 8. Caused Suspension or Expulsion: In the last five years, has a regulatory organization or judicial court found that your conduct caused: another person to be temporarily or permanently prevented from being associated with a financial services institution or participating in the financial services markets OR a financial services institution to be temporarily or permanently prevented from participating in the financial services markets?
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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 June 2015 CFA® 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 26 November 2014), 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. | 
发表于 2014-11-7 11:04
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