* Chartered Financial Analyst *

FREE Practice Exam Questions 1/10

Which of the following is least likely to prompt a professional conduct inquiry at the CFA Institute?

	a) Notification of a problem by the Securities and Exchange Commission (SEC) or other government regulatory organization.
	b) A written complaint to the Professional Conduct staff from customers of a covered person.
	c) The Professional Conduct staff becomes aware of a possible violation through the public media.
	d) Self-disclosure on the annual Professional Conduct Statement of involvement in civil litigation

Guideline Answers

Correct answer is: "A"
The preface to the Standards of Practice Handbook lists four means of prompting a professional conduct inquiry. Answer “A” is not included in this list. The one means of prompting a professional conduct inquiry missing from the above list involves notification by a CFA exam proctor that a candidate may have compromised his/her professional conduct during an examination.
LOS (1.a)

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