AuthorTopic: denial from CFA exam
ayush_pawa
@2020-01-12 11:12:31
Hello guys !

I think, there is some thing wrong in evaluating my application. I got below mail from CFA. I replied them there must be some mistake i answered No to all the below questions not sure how it came as yes on system. I wonder what will happen now..

We note the disclosures you made in response to questions #1-#4 on the Professional Conduct Inquiry form which ask: 1. Suspension: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a temporary suspension from:participation in the financial services markets ORassociation with a financial services institution?
2. Expulsion: Are you currently, or within the last five years have you been, the subject of disciplinary action by a regulatory organization or judicial court that resulted in a permanent or indefinite suspension from:(a) participation in the financial services markets OR(b) association with a financial services institution?
3. Prohibitions and Restrictions: In the last five years, has a regulatory organization or judicial court denied you trading privileges or prevented you from: Trading on a securities or contract market, ORActing as a person required to be registered under a law or regulation, ORActing as an affiliated person or employee of a financial services institution?
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)?

In accordance with the CFA Institute Board of Governors’ established policy regarding criteria for admission into the CFA Program, the conduct disclosed by you on the Professional Conduct Inquiry form disqualifies you from participation in the December 2012 CFA Study and Examination Program. 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 19 August 2012), 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.
rajlakshmi
@2020-01-15 09:31:34
Is it safe to assume that you were telling the truth when you answered “No” to each of the questions?
sobey101
@2020-01-16 04:53:55
I would try calling them as well. It should be as simple as letting them know that a "Yes" answer was a mistake.
tommyb
@2020-01-20 03:56:20
Hey,

I received a similar email today denying my registration for the Level I exam. I am writing a letter to the Professional Conduct Program right away. (Selecting ‘Yes’ was a stupid inadvertent error on my part.)

I know this post is six months old (:D) but it would help me calm down if you could tell me how long it took before they re-accepted your registration from the time you sent them the review request email.

Thank you!
joy_h2o
@2020-11-18 05:03:54
Hey,

I also received a similar email a few days ago, and my exam day is less than 20 days now. I emailed them many times but they did not give me a reply. Can you please tell me how the process works? and how log does it takes.

Thanks a lot!

CFA Discussion Topic: denial from CFA exam

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