CFA Society Sacramento Professional Conduct Statement
RequiredRequired Question(s)
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.
 
Required 1.

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 Society Sacramento
Yes, matter currently under investigation by the CFA Society Sacramento
Yes, matter previously investigated by CFA Society Sacramento; review concluded
  • Comment:

  • 500 characters left.
Required 2.

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 Society Sacramento
Yes, matter currently under investigation by the CFA Society Sacramento
Yes, matter previously investigated by CFA Society Sacramento; review concluded
  • Comment:

  • 500 characters left.
Required 3.

In the last two years, have you been temporarily or permanently
suspended, barred, banned, or otherwise prevented from: (i) working
or 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 Society Sacramento
Yes, matter currently under investigation by the CFA Society Sacramento
Yes, matter previously investigated by CFA Society Sacramento; review concluded
  • Comment:

  • 500 characters left.
Required 4.

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? 


No
Yes, matter not previously disclosed to CFA Society Sacramento
Yes, matter currently under investigation by the CFA Society Sacramento
Yes, matter previously investigated by CFA Society Sacramento; review concluded
  • Comment:

  • 500 characters left.
Required 5.

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 Society Sacramento
Yes, matter currently under investigation by the CFA Society Sacramento
Yes, matter previously investigated by CFA Society Sacramento; review concluded
  • Comment:

  • 500 characters left.
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.
 
Required 6.
Please enter the information indicated below.

First Name:
Last Name:
Work Phone:
Email Address:
emailaddress@xyz.com
Date:

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CFA Society Sacramento, 915 L Street, #C252, Sacramento, CA 95814      
Phone: (916) 873-1800, Email: info@cfass.org