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"morality" exercise:Disciplinary review Committee
學習是一個不斷積累的過程，每天學習一點，每天進步一點！為了幫助大家更高效地備考2021年CFA考試，正保會計網校每日為大家上新CFA習題供大家練習。讓網校與您一起高效備考2021年CFA考試，夢想成真！
Questions 1:
Who most likely determines whether a violation of the CFA Institute Code and Standards or testing policies has occurred and what sanction should be imposed? The:
A、 Professional Conduct Staff and the Disciplinary Review Committee
B、 Professional Conduct Staff
C 、Disciplinary Review Committee
Questions 2:
Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client. Which of the following statements could Baker make to most likely reflect disciplinary sanctions the CFA Institute may impose ？Sanctions include:
A 、fines for violations .
B、 revocation of membership.
C、 banishment from the industry.
View answer resolution
【Answer to question 1】A
【analysis】
A is correct. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. Following their investigation, the Professional Conduct Staff may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate which include the charges and a proposed sanction. If that proposal is rejected by the member or candidate, the matter is referred to a panel composed of DRC Members. The panel’s task is to determine whether a violation of the Code and Standards or testing policies occurred and if so what sanction should be imposed.
B is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.
C is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.
【Answer to question 2】B
【analysis】
B is correct as the CFA Institute may revoke membership for violations of the Institute Code of Ethics.
A is incorrect because CFA Institute Bylaws do not include fines as a sanction.
C is incorrect as CFA Institute does not have the authority to ban an individual from the business and does not always apply sanctions to every violation of its Code.
成功=時間+方法，自制力是這個等式的保障。世上無天才，高手都是來自刻苦的練習。而人們經常只看到“牛人”閃耀的成績，其成績背后無比寂寞的勤奮。小編相信，每天都在勤奮練習，即使是一點點的進步，大家一定可以成為人人稱贊的“牛人”。
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