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Kate · 2024年04月23日

如题

NO.PZ2023021602000003

问题如下:

Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Institute recently notified Mager that his CFA Institute membership was suspended for a year because he violated the CFA Institute Code of Ethics. A hearing panel also came to the same conclusion. Mager subsequently notified CFA Institute that he does not accept the sanction or the hearing panel's conclusion. Which of the following actions by Mager would be most consistent with the CFA Institute Professional Conduct Program?

选项:

A.Providing evidence for his position to an outside arbitration panel

B.Using his CFA designation upon expiration of the suspension period

C.Presenting himself to the public as a CFA charter holder

解释:

The Designated Officer may impose a summary suspension on a member or candidate that may be rejected or accepted by the member or candidate. If the member or candidate does not accept the proposed sanction, the matter is referred to a hearing panel composed of Disciplinary Review Committee (DRC) members and CFA Institute member volunteers affiliated with the DRC. In this case, the hearing panel also affirmed the suspension decision by the Designated Officer, and therefore, the member loses the right to use his designation for a one-year period. Upon expiration of the suspension period, the analyst would be able to use his CFA designation.

A为什么不对.

老师可以解释一下三个选项吗

1 个答案

王暄_品职助教 · 2024年04月24日

嗨,爱思考的PZer你好:


A. 向外部仲裁小组提供证据来支持他的立场

  • 这个选项建议Mager向外部仲裁小组提供证据。然而,根据CFA Institute的程序,如果会员或候选人不接受制裁,该事项会转交给由纪律审查委员会(DRC)成员和与DRC有关联的CFA Institute会员志愿者组成的听证小组。因此,Mager应当通过CFA Institute的内部程序来解决问题,而不是直接寻求外部仲裁。所以,这个选项并不是与CFA Institute专业行为计划最一致的做法。

B. 在暂停期满后使用他的CFA称号

  • 根据情境描述,Mager的CFA称号被暂停了一年。这意味着在这一年期间,他不能使用CFA称号。但是,一旦暂停期满,他就有权再次使用这个称号。这个选项是符合CFA Institute的制裁决定的,因此是与CFA Institute专业行为计划一致的。

C. 将自己展示给公众作为一个CFA持证人

  • 由于Mager的CFA称号已被暂停一年,因此在这一年期间,他不能将自己展示为CFA持证人。这个选项与CFA Institute的制裁决定相违背。

综上所述,选项B“在暂停期满后使用他的CFA称号”是与CFA Institute专业行为计划最一致的做法。而选项A虽然看似合理,但不符合CFA Institute的内部处理程序。选项C则明显违反了制裁决定。

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