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luckygrace · 2024年01月31日

请问这个题目和选项问的是什么,有些看不懂

NO.PZ2018062009000064

问题如下:

Q. Which of the following statements best describes an aspect of the Professional Conduct Program process?

选项:

A.

Inquiries are not initiated in response to information provided by the media.

B.

Investigations result in Disciplinary Review Committee panels for each case.

C.

Investigations may include requesting a written explanation from the member or candidate.

解释:

C is correct. When an inquiry is initiated, the Professional Conduct staff conducts an investigation that may include requesting a written explanation from the member or candidate.

A is incorrect because Professional Conduct inquiries can be initiated in response to information provided by the media. CFA Institute staff may become aware of questionable conduct by a member or candidate through the media, regulatory notices, or another public source.

B is incorrect because although the Disciplinary Review Committee (DRC) is responsible for enforcement of the Code and Standards in conjunction with the Professional Conduct Program (PCP), only in the event that a member or candidate does not accept the charges and proposed sanction is the matter referred to a panel composed of DRC members.

请问这个题目和选项问的是什么,有些看不懂

1 个答案

王暄_品职助教 · 2024年02月01日

本题问一下哪一个选项正确的描述了PCP

A. "Inquiries are not initiated in response to information provided by the media." PCP不会因为媒体提供的信息而启动对CFA成员的调查。(错误,会的根据媒体来对某成员展开调查)

B. "Investigations result in Disciplinary Review Committee panels for each case." 每个案件都会有一个纪律审查委员会的专门小组进行处理。(错误,只有当成员不接受最终的判决时,才会再成立专门的小组进行处理)

C. "Investigations may include requesting a written explanation from the member or candidate." 调查的过程会要求CFA成员提供书面解释。(正确,会要求成员提供书面解释)



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