Took CFA L1 In Dec 19; Didn't Get Scores Due To Disciplinary Action; Looking For Advice

[HerbsDelite]

Well, I have thing to tell. Years back while I took the Part II exam, I violated the scratch paper rule. It was completely unintended and innocuous. Uniwttingly, I scribbled few no.s( most likely Q’s. No., I wanted to revisit , not some calculation ) on my exam Hall ticket. There were no observations from the proctor either. Couple of weeks down the line, the PCP letter landed right into my mail box from the CFAI.

Only then I realised what had happened. The letter did point out the violation on my part and sought an explanation. After talking to a few seniors ( none could provide any concrete direction, let alone an answer. Some even asked me to deny the whole stuff…which would have been a double whammy anyway)

I replied in the affirmative. I admitted the mistake and did point out that there were no calculations made but the random no.s were infact the Q’s. No.s I wanted to revisit. It was stupid on my part. And in good faith I leave the prudent judgment to th CFAI and that whatever sanction be imposed , I will abide by. However, I did also seek my pardon.

Couple of weeks later, I received another mail stating that herewith I was being reminded of the ethics pledge and and the responsibilities that I am to uphold at any given point in time. Although the institute believed it was a serious offence on my part, the institute will not investigate the matter further. No further action required. I did clarify in a follow up mail that whether I am being exonerated and that my results won’t be voided and that I can continue with my participation in the program. The reply came back saying the institute will not initiate any further action and my candidature is maintained. Short meaning ‘,Yes’.

So I believe , if you are honest in admitting , likelihood is you may be let off with a minor / major reprimand.Under no circumstances should you say anything other than the truth. You answer should be succinct, to the point and devoid of any lengthy explanation that may give the impression - you are trying too hard. So long you are really innocent, you should be fine.

[ironman32]

@HerbsDelite

Well, I have thing to tell. Years back while I took the Part II exam, I violated the scratch paper rule. It was completely unintended and innocuous. Uniwttingly, I scribbled few no.s( most likely Q’s. No., I wanted to revisit , not some calculation ) on my exam Hall ticket. There were no observations from the proctor either. Couple of weeks down the line, the PCP letter landed right into my mail box from the CFAI.

Only then I realised what had happened. The letter did point out the violation on my part and sought an explanation. After talking to a few seniors ( none could provide any concrete direction, let alone an answer. Some even asked me to deny the whole stuff…which would have been a double whammy anyway)

I replied in the affirmative. I admitted the mistake and did point out that there were no calculations made but the random no.s were infact the Q’s. No.s I wanted to revisit. It was stupid on my part. And in good faith I leave the prudent judgment to th CFAI and that whatever sanction be imposed , I will abide by. However, I did also seek my pardon.

Couple of weeks later, I received another mail stating that herewith I was being reminded of the ethics pledge and and the responsibilities that I am to uphold at any given point in time. Although the institute believed it was a serious offence on my part, the institute will not investigate the matter further. No further action required. I did clarify in a follow up mail that whether I am being exonerated and that my results won’t be voided and that I can continue with my participation in the program. The reply came back saying the institute will not initiate any further action and my candidature is maintained. Short meaning ‘,Yes’.

So I believe , if you are honest in admitting , likelihood is you may be let off with a minor / major reprimand.Under no circumstances should you say anything other than the truth. You answer should be succinct, to the point and devoid of any lengthy explanation that may give the impression - you are trying too hard. So long you are really innocent, you should be fine.

Thanks for the input. I talked to some people at work and I did pretty much what you said above, so its in the CFA institutes hands now.

[ironman32]

Update.

I received an email today asking for me to send a picture with the make and model.

In a way, I feel this would be supplying evidence that should have already been collected. (not going to get into that).

However, I ask/ponder, should I actually send this?

[S2000magician]

Heads you win, tails you tie.

Send it.

[CubsFanCPA]

It seems like the CFA institute has all the leverage here so I think your best bet is to cooperate fully. The best thing going for you is that this seems like a minor offense and you’re only on Level I so they might let it slide (assuming full cooperation from you) and at least you don’t really lose much if they don’t.