Q6. After she received the Notice of Inquiry from the Designated Officer, Liu had fully cooperated with the investigation into her actions during the CFA Exam. If a covered person receives a Notice of Inquiry about an alleged violation of the CFA Institute Code and Standards and fails to cooperate fully with the investigation, which of the following sanctions do the Rules of Procedure permit the Designated Officer to impose? A) Private Censure. B) Summary Suspension. C) 1-year Timed Suspension.
Q7. With respect to the CFA Institute enforcement of the Code and Standards, which of the following is NOT a possible disciplinary sanction? A) Private censure. B) Payment of a fine. C) Refusing to allow a candidate for the CFA designation to take one of the exams.
Q8. Which of the following correctly lists disciplinary sanctions in order of severity, lowest to highest, that the Designated Officer may take as a result of an investigation?
A) Suspension of the CFA designation, public censure, revocation of the CFA designation. B) Public censure, suspension of the CFA designation, revocation of the CFA designation. C) Suspension of membership, revocation of membership, public censure.
Q9. Which of the following statements regarding disciplinary procedures is FALSE?
A) A hearing may be held by telephone. B) The findings of a summary suspension review panel are final and conclusive. C) The findings of a hearing panel are final and conclusive.
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发表于 2009-1-5 15:04
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