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PRIVATE AND CONFIDENTIAL
BY EMAIL ONLY
Re: CFA Study and Examination Program Enrollment
Dear Mr. Wang:
I am writing to you on behalf of the Professional Conduct Program at CFA Institute. This letter is to inform you that CFA Institute has denied your application to become a candidate in the CFA? Study and Examination Program.
We note the disclosures you made in response to questions #4-#8 on the Professional Conduct Inquiry form which ask:
| 4. Convictions: In the last five years, have you been convicted of a crime punishable by less than one year in prison or jail (or otherwise defined as a misdemeanor) involving lying, cheating, stealing or other dishonest conduct? Have you ever been convicted of a crime punishable by one year or more in prison or jail (or otherwise defined as a felony)? |
| 5. Damage Claims: In the last five years, has your professional conduct, in either a direct or supervisory capacity, been the subject of litigation, arbitration, a complaint, or other claim for damages that was resolved for an amount exceeding $20,000 (US)? |
| 6. Disciplinary Action: In the last five years have you been the subject of disciplinary action by a regulatory organization, judicial court, or financial services institution that resulted in withholding of commissions or a monetary fine in an amount exceeding $20,000 (US)? |
| 7. Assisting in a Violation: In the last five years, has a regulatory organization or judicial court found that your conduct caused another person or financial services institution to violate a securities or commodities related law, rule or regulation? |
| 8. Caused Suspension or Expulsion: In the last five years, has a regulatory organization or judicial court found that your conduct caused: another person to be temporarily or permanently prevented from being associated with a financial services institution or participating in the financial services markets OR a financial services institution to be temporarily or permanently prevented from participating in the financial services markets? |
If you have reason to believe there are exceptional or unusual circumstances that warrant further review of your enrollment by the Professional Conduct Program, you may submit an appeal of the denial decision. If you choose to submit an appeal, it must be submitted in writing and received by the PCP within twenty (20) days from the date of this letter. Please refer to the attached “CFA Program Applicants Appeal Q & A” for more information regarding the appeal process.
If the PCP does not receive a written appeal of the denial decision within twenty (20) days of the date of this letter (by 30 September 2010), the denial of your CFA Program enrollment will be final and you will have waived all rights to further review of the matter by the PCP. The appropriate application fee will be returned to you.
You may reapply to the CFA Program when you have no disclosures (no “yes” responses) to the eight questions contained on the Professional Conduct Inquiry form.
Thank you for your interest in the program.
Sincerely,
Beth Waddell
Professional Conduct Program
CFA Institute
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