CFA Society Sacramento Professional Conduct Statement


Answer the following questions by marking the appropriate response for each. Any matter described in the questions below must be disclosed, even if the matter is still pending.
* 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?
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* 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?
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* The last 2 years, have you been temporarily/permanently suspended/barred/banned/or otherwise prevented from: (i) working/participating in the securities industry; (ii) trading on any securities/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 rep/affiliated person of any entity required to register/be licensed under any law/regulation (investment company, bank, etc.)?
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* In the last two years, have you been found to have aided, abetted, counseled, commanded, induced, or procured the violation of any securities- or commodities-related law, regulation, or rule?
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* 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?
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The above responses and all information provided by me on this Professional Conduct Statement are truthful, accurate, and complete, and I agree to notify CFA Society Sacramento promptly of any material changes required in my responses to the foregoing questions. I acknowledge and understand that failure to comply with the CFA Institute Code of Ethics and Standards of Professional Conduct is grounds for disciplinary action against me and that failure to cooperate with any CFA Society Sacramento investigation of my conduct is grounds for summary suspension.


MEMBER'S AGREEMENT

I have read, understand, and agree to comply with the CFA Institute Code of Ethics, Standards of Professional Conduct, Bylaws, and Rules of Procedure for Professional Conduct and other rules and regulations established by CFA Institute as amended from time to time.
* Name:
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* Phone:
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* Email Address:
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* Date:
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