29 September 2011
PRIVATE AND CONFIDENTIAL
Dear Miss **:
Below is an email from the CFA Institute Professional Conduct Program dated 8 September 2011. 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.
Sincerely,
Professional Conduct Program
CFA Institute
前面一封邮件
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 #1-8 on the Professional Conduct Inquiry form 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:participation in the financial services markets ORassociation 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 froma) 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, ORActing as a person required to be registered under a law or regulation, ORActing 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 ORa financial services institution to be temporarily or permanently prevented from participating in the financial services markets?
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 December 2011 CFA Study and Examination Program.
a) participation in the financial services markets OR(b) association with a financial services institution?