Guest Membership Application
Contact Information
Name
*
First Name
Last Name
Job Title
*
Company:
*
Phone Number
*
-
Area Code
Phone Number
Email
*
Reference
In order to become a Guest Member you must provide a reference from a member of the CFA Society Sacramento. Reference Name:
*
Reference Email Address:
*
Why do you want to become a Guest Member:
*
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 any written complaint or accusation regarding your professional conduct of activities?
*
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
Other
In the last two years, have you been the subject of any investigation conducted by your employer, a regulator, or other professional organization?
*
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
Other
In the last two years, have you been the subject of, a defendant or respondent in, any litigation, arbitration, or other action or proceeding in which your professional conduct or activities were questioned or 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
Other
The last two years, have you been reprimanded, censured, restricted, suspended, barred, enjoined, or otherwise sanctioned by any regulator, professional organization, government agency, or court because of your professional conduct or activities?
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
Other
In the last two years, has your employment been terminated for cause or have you been permitted to resign rather than face termination?
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
Other
In the last two years, have you been accused of, been convicted of, or pleaded guilty to, any crime (regardless of whether it involved your professional conduct or activities)?
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
Other
Please Read
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, and other rules and regulations established by CFA Institute as amended from time to time.
CFA Institute Code of Ethics, Standards of Professional Conduct
Submit
Should be Empty: