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In the case of a complaint about a member’s professional conduct, CFA Institute Professional Conduct Program staff are least likely to:
A review documents and records related to the complaint.
B request an interview with the member or with the party making the complaint.
C suspend the member’s right to use the CFA designation while an investigation is in progress.
答案解析:C The process for enforcing the Code and Standards does not include suspending a member or candidate while an inquiry is in progress. If CFA Institute Professional Conduct staff receive information that prompts an inquiry, the staff may request information from the member or candidate, interview parties who initiated a complaint, or review relevant records and documents.
核心词汇 :
CFA Institute Professional Conduct Program (PCP):CFA机构职业行为计划
是指CFA机构规定的CFA会员以及准会员的职业行为要求与监管委员会的执行管理程序,包括个人行为陈述以及出现问题后CFA机构的处理程序等。