CFA考试违规行为及惩处措施对照表

  对于备考CFA的人来说,考场规则可能是一个不太被时常聊起的话题,大部分时间更受关注的是那些章节及内容的学习与交流,以至于这个重要的环节却被忽视了。而CFA协会一直以来对违规作弊行为是零容忍的严苛态度,因此而闻名于全球的职业考试圈。
 
  如果问一句CFA考试规则中明文列出的注意事项有哪些,可能很多人都会说没有仔细留意过,正是对这些规则的忽视导致了有越来越多的考生在辛苦了几个月之后由于各种不经意的失误或者侥幸的心理而让自己陷入了无奈而又漫长的等待与煎熬,学校考试中稀松平常的事,在CFA的考场上都可能是违规行为并导致取消考试成绩,甚至1年到终身禁考不等,自此永远的告别CFA的旅程。
 
  CFA考试历年违规数据分析
CFA考试
CFA考试
  从上图可以看出,CFA立案的案件当中,大部分被协会调查的案件均被判违规。例如,14年6月考试,一共调查902个疑似违规案件,其中898个案件侦查完毕,只有非常少的一部分被判为不违规(绿色部分:NoDiscinplinary Action),这意味着,超过90%的案件均判罚违规。2015年6月CFA考试违规事件也达到984件,惩罚严重与否姑且不提,这些考生的当年成绩作废,浪费了青春、和金钱,实在得不偿失。

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  CFA考试违规行为及惩处措施对照表
 
  每个报名的考生都会收到CFA协会关于参考的Policy,其中明确的写出了什么可以做什么不可以做。但内容过于概况不便于理解;同时他们并没有解释违规行为所相对应的惩罚结果,导致很多考生在不知觉的情况下违规被罚,颇为冤枉!
CFA
 
  备注:一种情形一般只采用一种处罚决定,具体由CFA协会裁决!
 
  CFA考生收到report怎么办?
 
  【某考生发的先进封邮件】
 
  I am level 1 candidate in Nanjing.
 
  During the exam,I wrote my Chinese name on the ticket.
 
  I did not know what I was thinking about,but I have never thought about cheating.I promised.
 
  I felt sorry for what I have did.
 
  I wondered whether my mistake would affect my score.
 
  I really didn't mean it.
 
  please forgive my mistake,cause I really didn't mean it.
 
  Thank you.
 
  【CFA Institute Customer Service的答复邮件】
 
  Dear Sir or Madam,
 
  We take your feedback very seriously and work to improve our global testing facilities based on the information we receive from our candidates.Unfortunately you have not provided enough information to ensure appropriate follow-up.Please respond to this message string and include your candidate ID number and any other specific identifying details you would like to include.
 
  Warm regards.
 
  【某考生发的第二封邮件】
 
  My ID is XXX.My name is XXX.
 
  I am level1 candidate.I have my exam in Nanjing.
 
  In the afternoon exam,I was waiting for the exam begin on my seat.
 
  I wrote my Chinese name on my ticket.
 
  I just felt boring when I was waiting.
 
  I really didn't know what I was thinking about at that time.
 
  But I never thought about cheating.
 
  I am really sorry for what I have done.
 
  I work so hard for this,and I think I did a good job on the exam.
 
  Please forgive my mistake.I felt sorry for this again.
 
  Thank you.
 
  【CFA Institute Customer Service发送至CFA Institute ID#XXX】
 
  DearXXX,
 
  Thank you for contacting us.Given the nature of your experience on exam day,a proctor may have submitted a report to the Professional Conduct Program;therefore,an associate has forwarded your email to that group.A representative of the Professional Conduct Program will contact you if additional information isrequired.
 
  Should you have additional questions or concerns,please contact us again.
 
  Regards.
 
  接下来的一个月,该考生在焦急中等待着信件的来到,可是左等右等也没来,于是在成绩出来前几天又发了一封邮件。
 
  【考生发的第三封邮件】
 
  I am XXX.I want to konw the result.I haven't got any email or letter.
 
  It is mean no matter?I feel sorry again.
 
  Please contact me as soon as possible.Thank you.
 
  【CFA Institute的答复邮件】
 
  Dear XXX,We have completed our review of all Violation Reports and exam tickets.If you have not received a letter from the Professional Conduct Program,we determined the writing on the ticket(while a violation of the examrules),did not require further action by the Professional Conduct Program.
 
  Sincerely.
 
  较终考生收到了CFA的答复邮件,一切尘埃落定!

来源|中国CFA考试网 若需引用或转载,请联系原作者,感谢作者的付出和努力!

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