问题
单项选择题
According to the Practice of Handbook, when an inquiry into a member's professional conduct is initiated, which of the following most likely initially conducts the investigation that may include requesting a written explanation form the member or candidate
A. The CFA Institute Designated Officer.
B. The Disciplinary Review Committee.
C. The CFA Institute Professional Conduct staff.
答案
参考答案：C
解析： 如果会员或考生的不当行为引起CFA协会的调查，最初是由CFA协会专业行为部门的员工来负责进行，其调查内容包括：要求当事人提供书面的解释，约访当事人、举报人或第三方，以及搜集相关的文件和记录以支持其调查。然后，由CFA协会指定的官员审核这些在调查过程中所获得的材料，来决定对该会员或考生进行何种处罚。纪律审查委员会是负责实施伦理道德和专业行为标准的机构。