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?