开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

李梦璐 · 2022年02月01日

不明白

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.

老师,这题什么意思啊?这个知识点是在哪里讲到的?关于题干和选项提到的那两个组织有更多需要掌握的内容么?

1 个答案

王暄_品职助教 · 2022年02月01日

本题主要考察是PCP相关内容,是R57考察的内容,同学可以参考基础班讲义28页。

DRC—这个部门负责审查会员、考生是否符合Ethics的要求。可以理解为纪检委

PCP—Professional Conduct Program,这是一个项目,具体制定准则的一个项目。

DRC是对PCP整个项目负责,且DRC是一个志愿者组织。

考点涉及:

1.问你谁对整个道德准则指定负责,要知道是DRC,结尾C是Committee的意思;

2.问DRC是不是志愿者组织,要知道,是的。

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