Breakaway
2019-12-04 09:32老師請(qǐng)問(wèn),the cautionary letter issued by designated officer is wether the public censure ? If not , what purpose the designated officer has when issuing it ?what effect it has during the whole proceeding and on the suspected member?
所屬:CFA Level I 視頻位置 相關(guān)試題
來(lái)源: 視頻位置 相關(guān)試題
1個(gè)回答
Bingo助教
2019-12-04 10:58
該回答已被題主采納
同學(xué)你好。請(qǐng)問(wèn)是不理解這句話意思嗎?麻煩給一下這句話大概的位置。
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追問(wèn)
就是cautionary letter 的性質(zhì)是什么,是一種基于明確違規(guī)的懲戒,還是對(duì)于潛在違規(guī)可能的預(yù)警,還是告知你會(huì)被調(diào)查要求配合,還是違規(guī)的嚴(yán)重性不足以到propose sanction,但是也不能不propose?
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追答
你好。這個(gè)作為三類處罰結(jié)果中的一種。寄送警告信,一般來(lái)說(shuō),意味著發(fā)現(xiàn)調(diào)查對(duì)象存在著一定的問(wèn)題。再嚴(yán)重一點(diǎn),就吊銷(xiāo)或者取消持證資格了。
