Professional Leave Application – CFA Society New York

Professional Conduct Statement

A. In the last two years, have you been the subject of a written complaint regarding your professional conduct in either a direct or supervisory capacity?*

No
Yes, matter not previously disclosed to CFA Institute
Yes, matter currently under investigation by CFA Institute
Yes, matter previously investigated by CFA Institute; review concluded

B. In the last two years, have you been the subject of, a defendant in, or respondent to any investigation, civil litigation, arbitration, or other action or proceeding in which your professional conduct, in either a direct or supervisory capacity, was at issue?*

No
Yes, matter not previously disclosed to CFA Institute
Yes, matter currently under investigation by CFA Institute
Yes, matter previously investigated by CFA Institute; review concluded

C. In the last two years, have you been temporarily or permanently suspended, barred, banned, or otherwise prevented from: (i) workingor participating in the securities industry; (ii) trading on any securities or contract market; (iii) acting as a broker, dealer, investment advisor, or other person required to register under any law or regulation; or (iv) acting as an employee; registered representative; or affiliated person of any entity required to register or be licensed under any law or regulation (i.e., investment company, bank, etc.)?*

No
Yes, matter not previously disclosed to CFA Institute
Yes, matter currently under investigation by CFA Institute
Yes, matter previously investigated by CFA Institute; review concluded

D. In the last two years, have you ever been found to have aided, abetted, counseled, commanded, induced, or procured the violation of any securities- or commodities-related law, regulation, or rule?*

No
Yes, matter not previously disclosed to CFA Institute
Yes, matter currently under investigation by CFA Institute
Yes, matter previously investigated by CFA Institute; review concluded

E. In the last two years, have you been convicted of or pled guilty to: (i) any crime defined as a felony or punishable by more than one year in prison (regardless of the sentence actually imposed), or (ii) any crime involving moral turpitude (fraud, lying, cheating, stealing, or other dishonest conduct) or any substantially equivalent crime in any court of law?*

No
Yes, matter not previously disclosed to CFA Institute
Yes, matter currently under investigation by CFA Institute
Yes, matter previously investigated by CFA Institute; review concluded

You confirm that all your answers to the Professional Conduct Statement are “No”. You also confirm that you have read, understand and hereby affirm your signature to the Professional Conduct Statement. You also hereby agree to abide by the CFA Society New York Code of Conduct and Ethics and Conflict of Interest Policy. If you cannot answer “No” truthfully to items A through E of the Professional Conduct Statement please email membership@cfany.org to submit further details.*

Not all of my answers to items A through E of the Professional Conduct Statement are "No". I will email membership@cfany.org to submit further details.
I confirm that all of my answers to A through E of the Professional Conduct Statement are truthfully "No".

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Professional Conduct Statement

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