我收到一封电子邮件,意思是我的申请没有成功,看了一下,是不是调查问卷我回答的,让他们不满意?我当时写问卷的时候根本没看,胡乱点了几个YES, NO,以为只是很随便的调查,结果现在给我这么个邮件。有人有过这样的经历么,麻烦告诉下小弟 Re: CFA Study and Examination Program Enrollment
Dear Mr. Xu:
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, 5 and 7 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: (a) participation in the financial services markets OR (b) association with a financial services institution?
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| 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?
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| 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)?
| 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?
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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 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 10 September 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.
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 |