CFA Practice Question
Beatrice Arnold, a CFA Institute Designated officer, is conducting an inquiry related to professional conduct. Which of the following incidents are least likely to have prompted such an inquiry?
A. A written complaint received by the Professional Conduct staff about a member or candidate's professional behavior.
B. Self-disclosure by the member or candidate on their annual Professional Conduct Statement of involvement in civil litigation, criminal investigation, or a written complaint.
C. The routine background check of a CFA member or candidate revealed criminal investigation.
Explanation: The routine background check is a effective way to investigate a criminal. It prompts such an inquiry.
User Contributed Comments 6
| User | Comment |
|---|---|
| chantal | I thought the question said the LEAST likely incident to have prompted such an inquiry? |
| reganbaha | Surely, self-disclosure of the info is LEAST likely to prompt an inquiry, since the info was offered and not hidden. |
| Clude | Though it does not make much intuitive sense to me, the correct answer is indeed C. |
| Jessica12 | I think the distinction here is professional misconduct vs. criminal activity. |
| Mikehuynh | I think the word "routine" makes C correct |
| harrybay | I think Jessica is right, the question is not referring to criminal activity but a breach of professional conduct. |