Prep Provider Guidelines Program Manual CFA® CIPM®

Transcription

Prep Provider Guidelines Program Manual
EFFECTIVE JULY 2014
CFA®
CIPM®
CLARITAS®
Table of Contents
I.
6 Easy Steps to Apply to the PPGP...................................................................3
II.
Purpose of the Program .....................................................................................3
III.
Program Goals ...................................................................................................3
IV.
Eligibility ...........................................................................................................4
V.
Program Benefits ...............................................................................................4
VI.
Guidelines and Responsibilities ........................................................................7
VII.
Onsite Exhibiting/Marketing Guidelines .........................................................11
VIII.
Group Registration Policy ................................................................................12
IX.
Renewal Policy .................................................................................................14
X.
Branding Guidelines .............................……………………………………....15
XI.
Contact Information .........................................................................................16
XII.
Application Package & Process ......................................................................17
Appendix A: Application …………………………………………………………......................17
Appendix B: Agreement ……………………………………………………...............................22
Appendix C: Instructor Bio Form ..................................................................................................27
Appendix D: Copyrighted CFA Program Materials Reprint Permission Request Form ...............28
Appendix E: Candidate Pass Rate Analysis Candidate Consent Form ……………………….......33
Appendix F: PPGP Exam Center Exhibitor Request Form and Agreement……………................36
Appendix G: Candidate Mailing List Request Form and Agreement ............................................38
Appendix H: 2015 Curriculum Year Important Dates ...................................................................43
Prep Provider Guidelines Manual
© CFA Institute 2014
Page 2
I.
6 EASY STEPS TO APPLY TO THE PPGP
Step 1: Prep course provider sends all study/marketing materials to CFA Institute for review
• Materials in PDF, web link, etc. format may be sent via email or postal mail.
Prep course provider sends completed PPGP Application to CFA Institute
• Application Form (Appendix A)
• Agreement (Appendix B)
• Instructor Bios (Appendix C)
Step 2: CFA Institute reviews Application and Materials
• CFA Institute will conduct reference checks for all first time applicants and reserves the
right to check reference information from current and/or renewing Providers.
Step 3: CFA Institute reviews marketing guidelines with approved Prep Provider
Step 4: Prep Provider and CFA Institute review the PPGP optional benefits and event timelines
• Reprint Permissions (Appendix D)
• Candidate Pass Rate Analysis Reports (Appendix E)
• Exam Center Exhibiting (Appendix F)
• Candidate Mailing Lists (Appendix G)
• Curriculum Year Important Dates (Appendix H)
Step 5: CFA Institute adds Prep Provider to CFA Institute website
Step 6: CFA Institute sends PPGP Membership invoice to Prep Provider
II.
PURPOSE OF THE PROGRAM
CFA Institute wants to provide its candidates with a means for distinguishing between exam preparation providers. These
Guidelines represent CFA Institute’s preferred practices for fair and accurate administration of exam preparation services.
Providers who choose to participate by adhering to the Guidelines will receive certain benefits, including the right to use a
tagline that identifies the provider as a Guidelines Program participant.
CFA Institute and participating providers share several common goals, including: (1) to help qualified and motivated
candidates master program concepts and pass CFA Institute examinations; (2) to ensure the quality and reputation of CFA
Institute programs; and (3) to understand the role and importance of establishing a relationship with CFA Institute
candidates.
The mission of CFA Institute is to lead the investment profession globally by promoting the highest standards of ethics,
education, and professional excellence for the ultimate benefit of society. We believe that a collaborative approach between
CFA Institute and providers can help CFA Institute achieve its mission, grow the reputation of its programs worldwide, and
improve the educational process of candidates.
III.
PROGRAM GOALS
The goals of the Guidelines Program are:
•
•
•
To improve overall communications to candidates and potential candidates about the value and educational rigor of
CFA Institute programs.
To provide valuable information to prep providers to help them stay current regarding candidate trends and
operational changes in the structure of CFA Institute programs.
To ensure uniform compliance with high standards of communication regarding the supplemental role of prep
provider products in candidate exam preparation.
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IV.
ELIGIBILITY
The Prep Provider Guidelines Program (“Guidelines Program”) was established by CFA Institute as a means for providers
of prep programs, products, and services to improve their educational process for candidates in CFA Institute’s programs,
including the CFA Program, CIPM Program, and Claritas Program.
Participation in the Guidelines Program is voluntary and open to prep providers, including CFA Institute Member
Societies, that:
(i)
Develop a substantial portion of their own content and/or courses (pure resellers of third party materials will
not be accepted);
(ii)
have been providing preparatory services for at least one CFA Institute program for at least one year; and
(iii)
agree to and abide by all terms and conditions of the Guidelines Program.
Interested providers should complete the Application Package, which can be found on the CFA Institute website.
V.
PROGRAM BENEFITS
CFA Institute offers both complimentary and fee-based (à la carte) services to providers that have been accepted into the
Guidelines Program (“PPGP Providers”). Prep course providers not participating in the Guidelines Program will not have
access to benefits, including the right to purchase à la carte services.
A. Complimentary Services
The following benefits are included in the annual fee:
1. Curriculum Access: Each Curriculum Year, each PPGP Provider will be granted one complimentary
copy of the curriculum (in eBook format) for each CFA Institute program for which it provides services.
Print copies and additional eBook copies may be purchased through the CFA Institute Contact Center. The
curriculum may be used only for the PPGP Provider’s internal use in preparing study aids; it may not be
copied or distributed. Copying any portion of the curriculum for inclusion in PPGP Provider’s products
requires a separate license and fee.
2. Tagline: PPGP Providers will be granted the right to use the tagline: “Follows CFA Institute Prep Provider
Guidelines” to indicate provider’s compliance with the Guidelines Program. The Tagline must be used in
accordance with the “Branding Guidelines and License Requirements” contained in this Manual. This
right cannot be transferred or sublicensed to third parties without CFA Institute’s express permission.
3. Publicity: PPGP Providers will receive recognition on the CFA Institute website. PPGP Providers also
will be identified in select candidate publications.
4. Candidate Updates: PPGP Providers will receive communications from CFA Institute containing
important information for candidates about the CFA Institute programs and examination process.
5. Candidate Registration Reports: Aggregate candidate enrollment data (globally, regionally, by country,
by state, by level) will be available to participating providers. Reports will be updated and made available
to providers periodically. These reports are available solely for provider’s internal planning purposes only,
and may not be published or disclosed.
6. Candidate Pass Rate Analysis Report: PPGP Providers are eligible to receive a Candidate Pass Rate
Analysis Report (“CPRA Report”), which is designed to help them assess their products and programs by
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providing information about strengths and weaknesses on CFA Institute exams for candidates using their
services. The CPRA Report and information contained therein is provided for PPGP Provider’s internal
use only, and may not be published or disclosed. One CPRA Report is provided per CFA Institute
program per Curriculum Year, except for the CFA Program, which is provided twice per year (in
connection with the June and December exams). The complimentary CPRA Report includes aggregate
data across all PPGP Provider candidates; custom reports (by region, instructor, etc.) are available for a fee
(see Fee-Based (a la carte) Services).
PPGP Providers who wish to receive the CPRA Report must collect the names and CFA Institute ID
numbers of all candidates participating in their review program and submit them to CFA Institute using the
Candidate Pass Rate Analysis Consent Form (see Appendix E). If there are less than thirty candidates for a
particular CFA Institute exam offering (per level), PPGP Provider also must provide the signature of each
candidate indicating his/her approval for CFA Institute to share the CPRA Report.
7. Online Resource Center: PPGP Providers will receive log-in access to the online Provider Resource
Center, providing on-demand access to candidate registration reports, current and archived announcements,
and other useful documents. The online Provider Resource Center is used as a primary method of
information distribution, and providers are encouraged to visit this important resource on a regular basis.
8. Society Contact Opportunities for CFA Program Providers: For those PPGP Participants who offer
preparation services for the CFA Program, CFA Institute will provide opportunities for participating
providers to have access to a broad group of CFA Institute Member Societies regarding their products and
possible collaborations.
9. CFA Institute-Sponsored Information Sessions: PPGP Providers will be invited to attend any exclusive
PPGP Provider informational sessions conducted by CFA Institute (for example, on exam processes,
curriculum, and candidate trends) that pertain to the CFA Institute program(s) for which they offer
services. (Travel and hotel expenses, if applicable, will be the responsibility of the provider.)
10. Central Prep Provider Mailbox/Helpdesk: A dedicated mailbox for prep providers is available for prep
provider inquiries and communications. E-mail questions or comments to: [email protected].
11. Review of Provider Materials: CFA Institute offers an advisory service for review of provider materials
and products, and we strongly encourage providers to avail themselves of this service in advance of
distribution of marketing to candidates. Receipt of a provider’s products does not indicate CFA Institute
approval.
B. Fee-Based (à la carte) Services:
The following services are optional, and provided at an additional fee. Please consult the Fee Schedule to the Prep
Provider Guidelines Program Agreement for pricing information.
1. Mailing List Access
PPGP Providers are eligible to receive lists of physical and email (Claritas only) mailing addresses for
candidates in their regional markets who are enrolled for the CFA Institute programs for which the PPGP
Provider provides preparatory services. Mailing Lists for CFA Program and CIPM Program candidates
include physical addresses only; NO EMAIL ADDRESSES ARE PROVIDED. Where email addresses are
provided, Providers are responsible for tracking and managing all opt-outs and removing those candidates
from the mailing lists provided by CFA Institute. Mailing lists are provided electronically and exclude
candidates who “opt-out” of receiving prep provider materials. The Mailing List may be used for a onetime mailing only. Interested PPGP Providers must complete the Mailing List Request Form and
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Agreement (see Appendix G) and abide by its specific terms of use. Requests for mailing lists should not
be made until registration has opened for the new exam cycle.
Fees are determined on a “per name” basis. The lists are provided “as is” and may contain inaccurate
address information. No refunds are available for addresses that are undeliverable.
2. Custom CPRA Reports
In addition to the complimentary CPRA Report, PPGP Providers may purchase additional, custom CPRA
Reports to obtain data for a particular demographic (for example, by region or by instructor).
3. Exhibiting Opportunities
PPGP Providers may have the opportunity to exhibit at CFA Institute events, such as the CFA Institute
Annual Conference and Society Leadership Conference. Additional fees will apply, and vary by venue.
Please inquire with CFA Institute if you are interested in exhibiting opportunities.
4. Learning Outcome Statements (LOS) Reprint Permissions
CFA Institute will charge a flat fee for unlimited use of LOS within a particular PPGP Provider product.
5. Other Copyright Reprint Permissions
Permission to reprint any other CFA Institute copyrighted material, such as curriculum readings, end of
chapter questions, and Standards of Practice Handbook content, must be requested/granted for each
Curriculum Year of use. License fees will apply. Please visit:
http://www.cfapubs.org/page/reprintsPermissions for more details.
Note: CFA Institute will no longer license Sample Questions to Providers. PPGP Providers that licensed sample
questions for Curriculum Year 2012 may continue to use those sample questions licensed through Curriculum Year
2015 at no additional charge; this is the last Curriculum Year in which those sample questions may be used. All
such sample questions must be phased out at the end of this Curriculum Year, prior to Curriculum Year 2016.
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VI.
GUIDELINES AND RESPONSIBILITIES
PPGP Providers participating in the Guidelines Program agree to adhere to the following:
A. PPGP Providers will abide by all CFA Institute requirements, including the Prep Provider Guidelines
Program Agreement and this Manual.
PPGP shall promptly address any violations upon notice.
CFA Institute may terminate a PPGP Provider’s agreement and participation in the Prep Provider Guidelines
Program should the provider violate any term of the Agreement or this Manual. In lieu of termination, CFA
Institute may apply one of the following lesser sanctions:
1. Warning. PPGP Provider will be notified by CFA Institute of violation and appropriate correction and
given 30 days to comply. If full compliance is not achieved after conclusion of 30 days, a temporary
suspension may be issued.
2. Temporary Suspension from the Prep Provider Guidelines Program. Provider may be suspended for one
or more Curriculum Year(s). After a suspension, the provider must resubmit all materials with a new
application to be considered for re-entry into the Guidelines Program.
If a violation is severe, the PPGP Provider may be permanently banned from the Guidelines Program
B. PPGP Providers will effectively and honestly communicate the educational purpose and principles of the
CFA Institute programs, including:
1. Promote and protect the value of the CFA Institute designations;
2. Clearly communicate and promote the educational goals and rigor of the CFA Institute programs and the
focus on the learning process;
3. Endorse the value and importance of the CFA Institute curriculum in effectively preparing for the exams;
and
4. d) convey that provider products should be used as supplementary tools, and not as a replacement for the
curriculum.
Example of Appropriate Communication:
Studying the CFA Institute-issued curriculum is essential to success. Prep Provider courses and materials are
developed to complement the CFA Institute curriculum and to facilitate the learning process, not to replace it.
Example of Inappropriate Communication:
Pass the exam with ease! Our study notes and review courses provide a shortcut to reading the entire
curriculum.
C. Providers will provide effective, high-quality supplemental materials consistent with the current
curriculum and exam formats for candidates’ use in preparing for CFA Institute exams, including the
following:
1. Develop educational tools that align with the current CFA Institute curriculum and exam format. This
should include timely retirement of questions and material that are no longer consistent with the current
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curriculum and exam format.
2. Utilize any informational tools provided by CFA Institute to stay up to date on the program(s) and to
maintain currency of preparatory materials.
3. Ensure all educational tools are developed by qualified authors or instructors and strive to effectively meet
and communicate learning goals and quality standards. Qualified authors or instructors are defined as: 1)
experienced and knowledgeable in the topics they teach; 2) those that are CFA charterholders and/or can
demonstrate comprehension of the then-current curriculum for all programs and topics they teach.
4. For each course instructors and author of prep materials, disclose to candidates their educational
qualifications, relevant work experience, and success or failure in the CFA Institute program being taught.
D. PPGP Providers will develop and implement feedback mechanisms to collect candidate input on their
courses and prep products, and will supply results of this feedback to CFA Institute upon request. PPGP
Providers will NOT ask candidates to share test questions or topics with the provider after an exam,
from memory or otherwise.
1. PPGP Providers are required to provide feedback mechanisms to integrate candidate input on their
products and to implement a process to utilize feedback to improve future product design as necessary.
2. PPGP Providers should utilize collected feedback to assess and monitor the content and quality of their
products.
3. Feedback tools are required to include, but are not limited to, an evaluation form or process to include
questions on product and service quality and currency of materials/services offered.
4. PPGP Providers will not seek or receive, formally or informally, candidate feedback on test questions,
topics or other exam content, whether from memory or by removing exam materials or images of exam
materials from the test center.
5. If PPGP Providers choose to implement survey-type instruments to collect candidate feedback, the source
and intent of the survey should be clearly articulated to candidates, and the content of the survey should
focus on the provider’s products and services.
(Name of Prep Provider) is a PPGP Provider in the CFA Institute Prep Provider Guidelines Program.
Comments or complaints regarding any prep course provider and their related materials may be sent to
Prep Provider Guidelines Program, CFA Institute, 560 Ray C. Hunt Drive, Charlottesville, VA, 22903 or
[email protected].
Sample feedback questions:
Please check the box that applies to the prep materials you used in your most recent exam study
experience:
Please indicate the CFA Institute program and level for which you most recently tested:
Were you kept informed by the prep provider, in a timely manner, of updates to the CFA Institute
program and of any errata to the provider’s study materials?
Yes No No comment/Not applicable Comments: _____________
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Were the educational tools made available by the provider consistent with the then-current CFA
Institute curriculum and exam question formats?
Were the provider’s materials made available for your study use in adequate time for your
exam preparation?
Were the instructors knowledgeable in the topic area they taught?
Would you recommend this prep course and/or materials to a fellow candidate?
E. PPGP Providers will communicate to candidates the time commitment required for proper preparation
for the CFA Institute programs.
PPGP Providers should clearly communicate the amount of time and commitment necessary to effectively
prepare for the particular CFA Institute exams.
In general, each level of the CFA Program requires an average of 300 hours of preparation, although
time will vary based on prior education and experience.
Learning Outcome Statements are meant only as a guide to the most important knowledge, skills and
abilities to be gained in the readings.
Example of Inappropriate Communication:
We've done the readings for you. You won't have to waste time poring through the textbooks to find
the information, and guessing at what is important and relevant for the exam. Our materials are
designed to ease your exam preparation experience. They cover all of the Learning Outcome
Statements. There is no need to search through an entire chapter to find the relevant details. A few
minutes a day will build your confidence.
F.
PPGP Providers’ advertisements will be truthful, transparent, and fair.
1. PPGP Providers will not communicate promises or guarantees for passing the exams and/or communicate
PPGP Provider’s pass rate information. Only pass rates published by CFA Institute covering all exam
candidates worldwide are approved to be included in communications.
2. PPGP Providers will not communicate that the PPGP Provider has information regarding the specific
questions or focus of the exam beyond that information provided by CFA Institute, or that the provider has
access to actual exam content.
3. PPGP Providers will communicate only statements of fact with regard to qualifications and experience of
instructors, authors, and other contributors to the design, development, and teaching for PPGP Providers’
products.
i.
PPGP Provider’s Materials may not include biographical information identifying course
instructors or product creators as having present or past affiliation with the CFA Institute Board of
Governors, CFA Institute Council of Examiners (COE), CFA Institute Online Sample Exam Team
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(OSET), or the Education Advisory Committee (EAC); present or past participation as a CFA
exam Grader, Proctor, or Supervisor; curriculum writers and reviewers, or present or past
employment with CFA Institute or its predecessors.
ii. PPGP Provider shall not engage or employ members of the Curriculum Committees (including the
EAC, the COE, and/or any other committees or boards developing or designating curriculum for
CFA candidates), CFA Institute Board Members, or CFA Institute employees to prepare materials
or give lectures or presentations (whether or not their services are compensated) as part of any
program that prepares candidates to sit for the CFA examination, regardless of whether or not a fee
is charged for the program, while that individual is serving on the committee or board or in the
employ of CFA Institute and for one full year after their term of service, appointment or
employment ends.
4. PPGP Providers will clearly communicate any second-party/affiliate relationships with other organizations
in the development and delivery of preparatory products.
G. PPGP Provider will maintain suitable records, in commercially reasonable detail, regarding its
participation in the Prep Provider Guidelines Program, its course materials and products, its marketing
to candidates, and its use of candidate data and CFA Institute materials,
Provider agrees that CFA Institute may reasonably review such records from time to time to ensure compliance
with the terms of the Agreement and Manual. At the request of CFA Institute, Provider also shall provide any
consumer comments received, positive or negative, about provider’s materials and courses.
H. PPGP Providers will negotiate fairly and in good faith in all agreements with CFA Institute Member
Societies.
PPGP Provider will make the terms of any such agreement with a CFA Institute Member Society available
upon request.
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VII.
Onsite Exhibiting/Marketing Guidelines
Providers may market their services at CFA exam centers, but must follow the guidelines below to ensure the success and
the integrity of the exam process. Providers may not market at test centers for the CIPM and Claritas exams.
Due to security concerns, prep provider exhibits are not permitted at the test center venue unless prior approval is obtained
from CFA Institute. All exhibitors must read and agree to the Exam Center Guidelines. CFA Institute reserves the right to
refuse requests to exhibit. If you have questions, please contact us at [email protected].
• Providers must notify CFA Institute of its request to exhibit by 15 April for the June exam / 15 October for the December
exam by submitting the Exam Center Exhibitor Request Form (see Appendix F).
• Provider presence at the exam center must not interfere with the candidate check-in process or candidate flow and must
not cause a noise disturbance during the administration of the exams.
• Morning events cannot be allowed. Providers must not arrive at the exam site prior to 11:00 a.m.
• Providers may provide snacks and drinks only during the lunch break or at the conclusion of the afternoon session (after
5:00 PM).
• Materials such as pencils, flyers, T-shirts, etc., can only be distributed at the conclusion of the afternoon session.
Candidates are not permitted to bring printed matter and other materials into the testing room.
• All handouts, including flyers, T-shirts, pencils, etc., must be submitted for approval by 15 April for the June exam / 15
October for the December exam.
• Providers should not contact the exam venue to arrange exhibits prior to receiving authorization from CFA Institute. Once
CFA Institute has approved your event, reserve space early and coordinate directly with the venue. CFA Institute cannot
amend test center contracts to cover providers; therefore, the provider and the venue must enter into a distinct and separate
contractual agreement.
• No photos shall be taken of exam-related events at the test center venue.
• Those exhibiting must comply with any request made by CFA Institute staff, exam administration specialists (EAS),
exam supervisors, proctors, and security staff.
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VIII.
Group Registration Policy
Prep providers may be allowed to pay for the registrations of its candidates, but must adhere to the procedures and policies
outlined below. These policies were established to ensure the preservation of candidates’ best interests.
A. Any prep provider that intends to pay for its candidates registrations must notify CFA Institute in advance
at [email protected].
Include the approximate date of your first group registration, the approximate number of candidates you expect to
register, and whether you intend to submit payment for the group via credit card, check, or electronic funds
transfer.
B. Candidates must never be required to participate in a group registration as a condition of participation in
any prep provider program.
C. Candidates must complete their own applications, including the Professional Conduct Inquiry, the
Professional Conduct Statement, and the Candidate Responsibility Statement. Failure to do so constitutes a
violation of the Candidate Responsibility Statement.
PPGP providers may not take any steps to register the candidate other than paying the fees upon the candidate’s
completion of the registration process. If registering online, candidates must create their own unique username and
password.
D. Prep providers must submit group payments within 15 days of individual candidate registrations.
Incomplete registrations are periodically purged from our system. Late payments will result in the need for
candidates to re-register if their initial registration is deleted. Late payments can also result in increased fees or
closed registration: be aware of registration deadlines!
E. Prep providers must communicate the following information to candidates who participate in a group
registration: Candidate curriculum should arrive within 25 days of registration. If your materials have not arrived
within 25 days, please contact CFA Institute to confirm your registration:
https://www.cfainstitute.org/utility/contact/Pages/index.aspx
Please note that while the curriculum should arrive within 7-10 days of payment, given that payment must be made
within 15 days, we estimate delivery of the curriculum 25 days at most from the time of registration.
F. Providers should follow the Registration and Payment Process:
1.
Before making payment, candidates print an invoice and then log out:
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2.
Candidates submit a copy of the printed invoice to the prep provider.
3.
Prep providers may send multiple printed invoices with a single payment for the aggregate amount due.
a. Credit card information may be sent to Registrations &Revenue / Attn: Prep Provider Guidelines Program
by fax (434-951-5240). Copies of invoices must be attached.
b. Checks may be mailed to Registrations & Revenue / Attn: Prep Provider Guidelines Program / P.O. Box
2082 / Charlottesville, VA 22902-2082. Copies of invoices must be provided.
c. Wire transfers must include purpose for the wire, name, candidate names and numbers, and invoice
numbers. Those not including this information will be returned to the initiating bank. Contact CFA
Institute for wiring instructions.
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IX.
RENEWAL POLICY
PPGP Providers must apply to renew their participation in the Guidelines Program each Curriculum Year. To be eligible
for renewal, providers must be in good standing (e.g., not in arrears on any Guidelines Program fees/payments, not under
any current Guidelines Program sanction/disciplinary action).
To renew for the next Curriculum Year, PPGP Providers must submit a new application with an updated listing of
products/services to be offered in the subsequent Curriculum Year, and check the box indicating “Previous Guidelines
Program participant.” If any new products/services will be offered, the PPGP Provider must submit sample materials,
including marketing materials, to CFA Institute for review. However, materials need not be resubmitted for products and
services that were previously approved.
CFA Institute will communicate the review decision to PPGP Providers no later than thirty (30) days from the date the
application is submitted. CFA Institute reserves the right, at its sole discretion, to decline any request for renewal.
PPGP Providers can add new products and services, or new CFA Institute programs, at any time during the Curriculum
Year by filing a new application listing all (new and existing) product and service offerings. The current application on file
shall govern the products and services covered by the Guidelines Program; thus, remember to keep your product offerings
current with CFA Institute.
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X.
BRANDING GUIDELINES
A. Branding
PPGP Providers have the right to use the Program’s identifying tagline on all printed and electronic marketing literature:
“Follows CFA Institute Prep Provider Guidelines” (“Tagline”).
PPGP Provider may also use the CFA Institute, CFA®, Chartered Financial Analyst®, CIPM and CLARITAS brands
(“Marks”) to fairly describe their products and services. Design logos, including the CFA Institute design logo and CFA
certification mark, may not be used.
Note:
•
•
Provider products should be advertised as a supplement or complement to the study of the assigned CFA Program
curriculum.
Providers may not advertise products/services that are not preparatory courses for the CFA exam when marketing
to CFA candidates through a Candidate Mailing List provided by CFA Institute.
B. Use of Marks
1.
Provider may not use any logo or design mark of CFA Institute in any manner
2. PPGP Provider must prominently include its own trade name, trademark or service mark on its
promotional materials using the Marks. The Marks must be used to describe CFA Institute’s products and
services, not those of PPGP Provider.
3. PPGP Provider may not use the Marks in a manner which, in the opinion of CFA Institute, tends to
mislead, misinform, deceive, disparage or be distasteful in content or presentation, and CFA Institute, in its
sole discretion, may require PPGP Provider to modify or amend such uses.
4. PPGP Provider must use the trademark registration symbol – ® – after the first use and after each
prominent use (i.e., when a Licensed Mark is displayed in a larger font or used as a section heading) of the
Marks in PPGP Provider’s materials.
5. On web sites, each page or section is considered a first and prominent use.
6. PPGP Provider must state prominently on all materials prepared by PPGP Provider, including PPGP
Provider’s web site(s), that contain or reference the Marks the following notice in bold and in a font size
no smaller than 8 point:
CFA Institute does not endorse, promote, or warrant the accuracy or quality of the products
or services offered by (Insert PPGP Provider Name). [Insert Marks used] are trademarks
owned by CFA Institute.
7. The CFA and Chartered Financial Analyst trademarks must be used as adjectives, not nouns, and the
marks must not be used in the plural or possessive. To refer to “a Chartered Financial Analyst” or a group
of “CFAs” is improper. Proper use under trademark law would be to refer to “CFA charterholders” or “the
Chartered Financial Analyst designation.” These rules flow directly from trademark law.
8. PPGP Provider shall not use the Marks, any other CFA Institute marks, or any trade dress of CFA Institute
in any manner that CFA Institute believes is likely to cause confusion as to the source of the materials or
PPGP Provider’s affiliation with CFA Institute.
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9. PPGP Provider understands and agrees that all goods and services offered by PPGP Provider in connection
with which the Marks are used shall be of good quality and that any goodwill arising from PPGP
Provider’s use of the Marks shall belong to CFA Institute.
10. Should PPGP Provider’s participation in the Guidelines Program be terminated by either party, PPGP
Provider shall discontinue its use of the Tagline immediately in all mediums.
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C.
Naming Guidelines for Review Courses
PPGP Providers may make fair use the Marks in their review course titles. However, a PPGP Provider must not use the
Marks in its business name, trade name, product or service name, trademark, domain name, electronic mail address, or
telephone number. Use should be limited to descriptions of products, titles of seminars or other descriptive uses. For
example:
Acceptable:
Anderson Review, Inc.
Financial Analyst Seminars, Inc.
"Level II CFA® Exam Review Seminar" offered by Anderson Review, Inc.
“Sample CLARITAS® Exam Questions” offered by Exam Systems, Inc.
FINANCIALANALYSTPREP.COM
Not Acceptable:
CIPM Review Program
Chartered Financial Analyst Software Co.
CFAEXAMREVIEW.COM
D. Dos and Don’ts
When referencing CFA Institute
References to “CFA Institute” should not carry the trademark registration symbol (®).
•
•
Incorrect: CFA® Institute, CFA Institute®
Correct: CFA Institute
CFA Institute should not be referred to as “The Institute”, “the CFA Institute”, or “CFAI”.
When referencing the CFA Program and/or curriculum
When referencing the “CFA Program”, the letter “P” should always be capitalized.
•
•
Incorrect: The CFA program..., CFA
Correct: The CFA® Program...
When referencing “the program” (not including “CFA”) the “p” should not be capitalized.
•
•
Incorrect: The Program…
Correct: The program…
When referencing the “charter” or “charterholder” the “c” should not be capitalized.
•
•
Incorrect: The CFA Charter… or A CFA Charterholder…
Correct: The CFA® charter… or A CFA® charterholder…
When referencing the “CFA exam”, the letter “e” should not be capitalized.
•
•
Incorrect: The CFA Exam…
Correct: The CFA® exam…
When referencing Levels I, II, and III of the CFA exam always use Roman Numerals.
•
•
Incorrect: Level 3 of the CFA exam…, CFA Level 3 exam
Correct: Level III of the CFA® exam…, Level III CFA® exam
When referring to the curriculum, please ensure readers are able to differentiate between the CFA Program
curriculum and prep provider material references.
Page 17
When referring to the CFA Program curriculum, please do not use the following references:
•
•
syllabus
readings
When referencing CFA Prep Courses
•
•
XI.
Incorrect: CFA Course, CFA Level I Prep Course, CFA Level I Review Program, CFA Level I Exam Prep
Correct: CFA® Prep Course, Level I CFA® Prep Course, Level I Review Program for the CFA® exam, Level I Exam Prep
for the CFA® Program
CONTACT INFORMATION
Prep Provider Guidelines Program
CFA Institute
915 East High Street
Charlottesville, VA
22902
USA
Phone
+1 (800) 247-8132 (outside USA and Canada)
+1 (434) 951-5499 (USA and Canada)
E-mail: [email protected]
Web: http://www.cfainstitute.org/utility/examprep/Pages/index.aspx
Page 18
XII.
Application Package & Process
Thank you for your interest in becoming a participant in the Prep Provider Guidelines Program. This voluntary program
was established by CFA Institute so that providers of preparatory content for CFA Institute programs can improve their
educational messages for candidates. The Prep Provider Guidelines Application Package contains the following
information and forms:
•
•
•
Application (Appendix A)
Agreement (Appendix B)
Instructor Bio Form (Appendix C)
Application Process:
Read the Program Manual (located on the CFA Institute website) carefully to determine whether you meet eligibility
requirements and to understand Provider guidelines and responsibilities.
Submit completed Application Package along with:
•
Copies of all materials for all CFA Institute programs for which you will be offering services/products
Review Process:
•
•
•
•
CFA Institute will confirm receipt of the Application package via e-mail.
CFA Institute will review the Application and supporting materials.
CFA Institute will notify the Provider by email of whether they have been accepted into the Program.
CFA Institute will invoice successful applicants for fees owed.
Please remit completed application package to CFA Institute through the following methods. Completed application
package should include: Application, Agreement, and Instructor Bio Forms. The subject line of your communication
should state: “Prep Provider Guidelines Program Application.”
Please email or mail/post Completed Application Package to:
CFA Institute
Charlottesville, VA 22902 USA
P: (434) 951- 5499
E: [email protected]
Page 19
Appendix A
Application
CFA Institute
915 East High Street, Charlottesville, VA 22902 USA
P: (434) 951- 5499
W: http://www.cfainstitute.org/utility/examprep/Pages/index.aspx
Section I: Provider Data
______________________________________________________________________________
Provider Company Name^
______________________________________________________________________________
Provider Street Address^
___________________________/______________________/_________________/____________
Provider City^
State / Province^
Country^
Postal Code^
_______________________________/___________________________/____________________
Contact Name^
Contact Phone^
Contact Fax^
___________________________________________________/___________________________
Contact E-mail^
Provider Website Address^
Check only one:
New applicant
Previous Guidelines Program participant
Section II: Provider Size Classification
For the purposes of fee calculation, Providers shall be categorized by CFA Institute using the following criteria. A
“market” is generally considered a U.S. state, a Canadian territory, or a non-U.S. country. Classifications shall be made by
CFA Institute in its sole discretion.
1. Large Providers:
• multi-regional (generally more than three markets) or global;
• Internet presence that reaches beyond three markets; or
• CFA Institute member societies
2. Small Providers:
• regional (generally no more than three markets);
• primarily live training sessions;
• may not make any products available via the Internet (beyond the Region(s) noted on application),
mail order, or by any other means to candidates (outside of their markets).
Page 20
In the tables provided in Section III below, please indicate the regions (city, country, state) where each provider product is
offered.
Section III: Types of Products/Services Offered
All products and services offered by the Provider for exam preparation must be submitted for inclusion in the program.
Products and services offered for different certificate programs and different exam levels within a single certificate
program are considered separate products. Complete the following charts for all live courses and all materials.
• For excel version of the charts:
www.cfainstitute.org/utility/examprep/Documents/PPGP_application_product_offering.xlsx
A. Live review courses: Please complete the chart for each live course offered. Provider must provide an Instructor Bio
Form for the director of Provider's program, and for each instructor (if a Provider has more than five instructors, provide
bios for only the five most senior instructors).
CFA
Institute
program
Name
List name(s) of ALL
Live Courses offered
for each program
below
List
Regions
where you offer
Live Courses for
each
program
below
Does this Product
include
reproduced LOS?
If yes, complete
Reprint
Permissions
Form
Are your
Courses
offered
online?
Yes or
No
Estimated
number of
Candidates
for
each
program
Number of
Instructors
for
each
program
CFA
exam,
Level I
CFA
exam,
Level II
CFA
exam,
Level III
CIPM
exam,
Principles
CIPM
exam,
Expert
Claritas
exam
Page 21
B. Prep Materials: Please list each type of material (study notes, study guides, sample questions, flashcards,
etc.) offered for each course ("Prep Materials"). Indicate whether the material is offered in print, online, or
both. If the Prep Materials contain copyrighted materials that were licensed or provided by third parties,
please identify the third party that provided the license.
CFA
Institute
program
Name
Briefly describe Types
of Prep Materials
(Notes, Study Guides,
Flash Cards, etc.)
List
Regions
where materials
are offered in
Print
Does this Product
include
reproduced LOS?
If yes, complete
Reprint
Permissions
Form
Are your
materials
offered
Online?
Yes
of
No
List
all
Third
Party
Licenses, if
any
CFA
exam,
Level I
CFA
exam,
Level II
CFA
exam,
Level III
CIPM
exam,
Principles
CIPM
exam,
Expert
Claritas
exam
Page 22
Section IV: Product/Service Documentation
Applications must include documentation and samples, where applicable, for each Live Course and Prep Material listed
above. For previous Guidelines Program participants, materials need not be resubmitted for products and services that were
previously approved.
All documents must be in English. If the documents are online, provide the web addresses and any passwords required for
viewing.
I have attached documentation for each new Live Course or Prep Material offered.
Documentation is being sent under separate cover (Note: No applications will be processed prior to receipt of
all required material).
Section V: References
CFA Institute will conduct reference checks for all first time applicants and reserves the right to check reference
information from current and/or renewing Providers.
Section VI: Terms and Conditions
I represent and warrant that the information provided is true and correct, and that I have the legal authority to bind the
Provider identified below. Provider agrees to comply with all terms and conditions of the Prep Provider Guidelines
Program, including the Program Manual.
Provider Company Name: _________________________________________________________
Contact Name (please print):_______________________________________________________
Contact Title: __________________________________________________________________
Contact Signature: ______________________________________________________________
Date: _________________________________________________________________________
Page 23
Appendix B
Agreement
The Prep Provider Guidelines Program (‘the Program”) has been established by CFA Institute as a means for prep
programs to improve their education process for CFA, CIPM, and Claritas candidates. This Prep Provider Guidelines
Program Agreement (“Agreement”) is between CFA Institute and the preparatory course provider identified in the
signature block below (“Provider”).
1.
Program Participation. In consideration of the Program Fees, CFA Institute may provide the benefits and
services as described in the Prep Provider Guidelines Program Manual (“the Manual”). Provider agrees to comply with
the Manual.
2.
Term and Termination. The term of this Agreement shall be the curriculum year specified in Exhibit A
(“Curriculum Year”) and shall renew for successive Curriculum Year periods upon CFA Institute’s acceptance of a new
application from Provider. Either party may terminate this Agreement at any time for any reason, provided that annual fees
will not be reimbursed.
3.
Program Fees.
a. Provider shall pay the Program Fees set forth on the Term and Fee Schedule attached as Exhibit A. All fees
described on the Term and Fee Schedule are waived for CFA Institute Member Societies.
b. Invoices for Annual Fees will be issued upon acceptance of an application for the Curriculum Year. Payment will
be due within 30 days of the invoice date. Provider will not be eligible to use the Benefits described in the Manual
until payment of the Annual Fee is received by CFA Institute. Fees for Optional Services will be billed upon order
placement.
4.
Trademark Licenses.
a. CFA Institute grants Provider the non-exclusive, revocable right to use the tagline “Follows CFA Institute Prep
Provider Guidelines” (“Tagline”) in the manner set forth in the “Branding Guidelines and Licensing
Requirements” section of the Manual during the term of this Agreement. Provider is prohibited from transferring,
sublicensing or assigning its rights to use the Tagline. Provider is not permitted to use the CFA Institute logo for
any purpose.
b. CFA Institute shall have the non-exclusive right to use Provider’s name and logo in a list of all Providers for
marketing purposes in any medium.
c. The parties agree that all right, title and interest in and to their respective trademarks shall inure to the sole benefit
of the owner.
5.
Copyright License. Upon the payment of all applicable fees described in the Term and Fee Schedule, CFA
Institute grants Provider the non-exclusive, revocable right to use the copyrighted materials described in the “Benefits”
section of the Manual, including but not limited to the Curriculum, Candidate Registration Reports, Candidate Mailing
Lists, Candidate Pass Rate Analysis Reports, Learning Outcome Statements (“Copyrighted Materials”) for the limited
purposes described in the Manual during the term of this Agreement. All right, title, and interest in the Copyrighted
Materials shall inure to the sole benefit of CFA Institute. Upon expiration or termination of this Agreement, Provider shall
immediately cease using and destroy the Copyrighted Materials.
Page 24
6.
Warranty. THE COPYRIGHTED MATERIALS ARE PROVIDED BY CFA INSTITUTE ON AN “AS-IS”
BASIS WITH NO WARRANTIES OF ANY KIND. ANY AND ALL WARRANTIES, INCLUDING WITHOUT
LIMITATION WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE.
7.
Indemnification; Limitation of Liability. Provider shall indemnify and hold CFA Institute harmless from any
and all claims or actions arising from Provider’s participation in the Program. CFA Institute shall not be liable for any
indirect, incidental, consequential, special, lost profits, exemplary, or punitive damages under any theory or action arising
out of Provider’s participation in the Prep Provider Guidelines Program or any benefit provided therein. In no event shall
CFA Institute’s monetary liability to Provider exceed the amount of fees actually paid by Provider for the Curriculum Year
in which the harm occurred. Any claims against CFA Institute must be brought within one year from the date the harm
occurred.
8.
Governing Law. Provider agrees that the laws of the Commonwealth of Virginia, United States of America shall
govern this Agreement. Provider consents to the personal jurisdiction of the state and federal courts located in the
Commonwealth of Virginia, United States of America.
9.
Assignment. Provider may not assign this Agreement or its benefits in the Program without the prior written
consent of CFA Institute.
10.
Complete Understanding and Modification. This Agreement, its Exhibits, and the Manual (which is
incorporated fully into this Agreement) contain the entire agreement between the parties with respect to Provider’s
participation in the Program and they supersede any prior or contemporaneous agreements whether written or oral.
11.
Waiver and Severability. The failure of either party to insist, in any one or more instances, upon performance of
any of the terms or conditions of this Agreement shall not be construed as a waiver or a relinquishment of any right.
Should any provision of this Agreement be adjudged unenforceable, such judgment shall not limit or affect the
enforceability of any and all other provisions of this Agreement.
AGREED:
PROVIDER
__________________________
(Prep Provider Company Name)
CFA INSTITUTE
By:
By:
__________________________
(Signature)
__________________________
(Signature)
Name: __________________________
(Printed or Typed)
Name: __________________________
(Printed or Typed)
__________________________
(Office or Title)
__________________________
(Office or Title)
Date: __________________________
Date: __________________________
Page 25
EXHIBIT A
To Prep Provider Guidelines Program Agreement
Term and Fee Schedule
I. TERM.
The Curriculum Year is set forth below for the CFA Institute programs:
•
•
•
CFA Program (all levels): July 15 - December 1 (of the following year)
CIPM Program (all levels): November 1 - October 31 (of the following year)
Claritas Program: February 1 - January 31 (of the following year)
Registration includes the right to market products and services for the entire Curriculum Year. For example, a prep
provider that renews for the CFA Program in August 2014 may market products and services to 2015 CFA candidates from
the date of renewal through the December 2015 examination. Since the CFA Program Curricular Year is longer than 12
months, PPGP renewals for the CFA Program therefore overlap by several months.
II. PROGRAM FEES.
The fees set forth herein shall be effective for the 2015 Curriculum Year, beginning in 2014. Annual fees and LOS
reprint fees for the Claritas Program will be waived for the 2015 Curriculum Year.
Fees are based on Provider’s size category (as described in the Application) determined by CFA Institute. All fees are in
U.S. dollars, and exclude any taxes that may be due or payable by Provider. Fees may be increased each Curriculum Year
upon prior notice from CFA Institute.
A. Annual Fee.
Provider agrees to pay CFA Institute the following Annual Fee per Curriculum Year.
1.
Large Providers:
• CFA Program products: $1,500 each (per level)
• CIPM Program products: $1,000 each (per level)
• Claritas Program products: $1,000
2.
Small Providers:
• CFA Program products: $500 each (per level)
• CIPM Program products: $300 each (per level)
• Claritas Program products: $300
B. Optional Service Fees.
The following services are optional and may be purchased for an additional fee. They are not included in the Annual Fee.
Page 26
1. Large Providers
a.
Learning Outcome Statement (LOS) reprint fees.
•
•
•
•
•
•
CFA Level I: $5,000 flat per product
CFA Level II: $4,000 flat per product
CFA Level III: $2500 flat per product
CIPM Principles: $250 flat per product
CIPM Expert: $250 flat per product
Claritas: $5,000 flat per product
CFA Institute will charge a flat fee for unlimited use of LOS within a particular Provider product, per level and program.
For example, if a Provider uses Level I LOS in flash cards (1 Provider Product)($5,000) and in study notes (1 Provider
Product)($5,000), they will be billed $10,000 ($5,000 + $5,000 = $10,000) (regardless of the number of units printed or
sold and regardless of the number of LOS used).
b.
Mailing List Rental
Provider shall have the option to rent a Candidate Mailing List for the permitted use described in the Agreement at a cost of
$0.40 per name.
c.
Sample Questions
CFA Institute will no longer license Sample Questions to Providers. Providers that licensed sample questions for
Curriculum Year 2012 may continue to use those sample questions licensed through Curriculum Year 2015 at no additional
charge; provided that the sample questions must be phased out prior to Curriculum Year 2016.
d. Custom CPRA Reports
Providers may purchase additional, customized CPRA Reports for a fee of $100 per report.
2. Small Providers
a.
Learning Outcome Statement (LOS) reprint fees.
CFA Institute will charge a flat fee for unlimited use of LOS within a particular Provider product, per level and program.
For Small Providers, the fees vary based on the type of Provider product offered. Products containing LOS may not be
distributed outside the markets identified by Provider in the Application.
•
•
Presentation slides and handouts: $250 flat per product, per CFA Institute program (CFA Level I, Level II,
and Level III; CIPM Principles, CIPM Expert, and Claritas)
Other products (e.g. practice questions):
o CFA Level I: $500 flat fee per product
o CFA Level II: $500 flat fee per product
o CFA Level III: $500 flat per product
o CIPM Principles: $200 flat per product
o CIPM Expert: $200 flat per product
o Claritas: $300 flat per product
Page 27
b.
Mailing List Rental
Provider shall have the option to rent a Candidate Mailing List for the permitted uses described in the Agreement at a cost
of $0.40 per name. Mailing list rental is only available for the regions that Provider identified as its markets in the
Application.
c.
Sample Questions
CFA Institute will no longer license Sample Questions to Providers. Providers that licensed sample questions for
Curriculum Year 2012 may continue to use those sample questions licensed through Curriculum Year 2015 at no additional
charge; provided that the sample questions must be phased out prior to Curriculum Year 2016.
d.
Custom CPRA Reports
Providers may purchase additional, customized CPRA Reports for a fee of $100 per report.
Please contact us at [email protected] with any questions regarding pricing.
Page 28
Appendix C
Instructor Bio Form
Prep Provider Company Name:
Instructor Name:
_______________________________________
____________________________________________________
CFA Institute programs completed: _________________________________________
CFA Institute ID No.: ____________________________________________________
(Note: this field must be completed if instructor ever registered for any CFA Institute program).
Courses taught (check all that apply):
CFA Level I
CFA Level II
CFA Level III
CIPM Principles
CIPM Expert
Claritas
Educational background (e.g., colleges/universities attended, course of study, degrees obtained):
Applicable work experience (e.g., employer, job title, core responsibilities, period of employment):
Page 29
Appendix D
Copyrighted CFA Program Materials Reprint Permission Request Form
Prep Providers participating in the Prep Provider Guidelines Program, CFA Program Partners, and degree-granting academic
institutions are eligible to receive permission to use copyrighted CFA Program Materials. Other usage requests for these materials will
be considered on a case-by-case basis and may be subject to a separate fee structure. To request permission to use copyrighted CFA
Program Materials, please fill out this form and submit via e-mail or print the form and send via post.
Note: Copyrighted CFA Program Materials other than Learning Outcome Statements (LOS) may not be available for reproduction or
distribution. For live training sessions, we sometimes license use of practice problems. Please contact us for more information.
Contact Name ________________________________________________ Date _________________
Firm Name________________________________________________________________________
Address ____________________________________________________________________________
City __________________________ State/Province ___________________ Postal Code __________
Country _____________________________ Email _________________________________________
Phone Number _________________________________ Fax Number __________________________
Requested Material
Please specify below the copyrighted item(s) for which you are seeking permission to use. You may select more than one option. Once
you have made your selection(s), please complete the appropriate section(s) on the following pages. Note: You must request and pay
fees for copyright permissions each curricular year.
□Level I LOS
□Level II LOS
□Level III LOS
□Level I CFA Program Curriculum Reading
□Level II CFA Program Curriculum Reading
□Level III CFA Program Curriculum Reading
□Level I CFA Program Curriculum End of Chapter Questions
□Level II CFA Program Curriculum End of Chapter Questions
□Level III CFA Program Curriculum End of Chapter Questions
Please email or mail/post (this page and all applicable pages) to:
CFA Institute
P: (434) 951- 5499
Please specify:
__________________________________________________________________________________________
__________________________________________________________________________________
Page 30
LOS Usage Information
Large Provider Learning Outcome Statement (LOS) reprint fees:
CFA Institute will charge a flat fee for unlimited use of LOS within a particular Provider product, per CFA Institute program. For
example, if a Large Provider uses Level I LOS in flash cards and in study notes, the Provider will be billed $10,000 (regardless of the
number of units printed or the number of LOS used).
CFA Level I: $5,000 flat per product
CFA Level II: $4,000 flat per product
CFA Level III: $2,500 flat per product
Claritas: $5,000 flat per product
Please list Products by Level (check the level if you are repeating products per level):
□CFA Level I: ____________________________________________________________________
________________________________________________________________________________
□CFA Level II: ____________________________________________________________________
________________________________________________________________________________
□CFA Level III: ___________________________________________________________________
________________________________________________________________________________
□CIPM Principles: _________________________________________________________________
□CIPM Expert: ____________________________________________________________________
□Claritas:________________________________________________________________________
□Post on website approximate maximum number of users: __________________________
URL where material will be posted: _______________________________________________________
Is this website password protected?
□Yes □No
Who will materials be distributed to:
____________________________________________________________________________________
Other information which may be relevant:
____________________________________________________________________________________
Page 31
Small Provider Learning Outcome Statement (LOS) reprint fees:
CFA Institute will charge a flat fee for unlimited use of LOS within a particular Provider product, per CFA Institute program. For Small
Providers, the fees vary based on the type of Provider product offered. Products containing LOS may not be distributed outside the
markets identified by Provider in the Application.
Presentation slides and handouts: $250 flat per product, per CFA Institute program (CFA Level I, Level II, and Level III;
CIPM Principles, CIPM Expert, and Claritas)
Other products (e.g. practice questions):
CFA Level I: $500 flat fee per product
CFA Level II: $500 flat fee per product
CFA Level III: $500 flat fee per product
Claritas: $300 flat per product
Please list Products by Level (check the level if you are repeating products per level):
□CFA Level I: ____________________________________________________________________
________________________________________________________________________________
□CFA Level II: ____________________________________________________________________
________________________________________________________________________________
□CFA Level III: ___________________________________________________________________
________________________________________________________________________________
□CIPM Principles: _________________________________________________________________
□CIPM Expert: ____________________________________________________________________
□Claritas:________________________________________________________________________
□Post on website approximate maximum number of users: __________________________
□Yes □No
Who will materials be distributed to:
____________________________________________________________________________________
____________________________________________________________________________________
Page 32
CFA Program Curriculum Reading Usage Information
The copyright fee will be determined on request.
Curricular
Year
Example
Reading
Level Volume No.
2010 I
Guidance for Standards I2 VII
1
□Photocopy
□Email via PDF attachment
□Post on website
Reading Name
Reading
Author(s)
CFA Institute
Approximate maximum number of copies: _______________
Approximate maximum number of recipients: ____________
Approximate maximum number of users: _______________
URL where material will be posted: _____________________________________________________________
□Yes □No
How many months would the material be posted (up to one year)?
□Reprint in a book (text, trade, other)
Maximum print run: __________
Title of Work: ________________________________________________________________
Projected Publication Date: ___________________________________________
□CD/DVD-ROM
Run Quantity: ________________
□Other (please specify): _______________________________________________
Price you plan to charge for materials: _________________________
Who will materials be distributed to? ____________________________________________________
Other information which may be relevant: ____________________________________________________
Page 33
Other Usage Requests
Material being requested: _______________________________________________________________
□Photocopy
Approximate maximum number of copies: ________________
□Email via PDF attachment
Approximate maximum number of recipients: _______________
□Post on website
Approximate maximum number of users: __________________
Is this website password protected:
□Yes □No
How many months would the material be posted (up to one year)?
□Reprint in a book (text, trade, other)
Maximum print run: _____________________________
Title of Work: _________________________________________________________________________
Projected Publication Date: _____________________________________________________________
□CD/DVD-ROM
□Flashcards
Run Quantity: _________________________________
Run Quantity: _________________________________
□Other (please specify): _______________________________________________________________
Price you plan to charge for materials: _____________________________________________________
Who will materials be distributed to?
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
Page 34
Appendix E
Candidate Pass Rate Analysis Candidate Consent Form
Attention Prep Providers:
Providers that participate in the Prep Provider Guidelines Program (“PPGP Provider”) are eligible to receive
Candidate Pass Rate Analysis Reports (“CPRA Report”), which are designed to help them assess their products and
programs by providing information about strengths and weaknesses on CFA Institute exams for candidates using their
services. The CPRA Report and information contained therein is provided for PPGP Provider’s internal use only, and may
not be published or disclosed.
PPGP Providers who wish to receive the CPRA Report must collect the names and CFA Institute ID numbers of all
candidates participating in their review program and submit them to CFA Institute using the Candidate Pass Rate Analysis
Consent Form (enclosed). If there are less than thirty candidates for a particular CFA Institute exam offering (per level),
PPGP Provider also must provide the signature of each candidate indicating his/her for CFA Institute to share the CPRA
Report.
Prep Provider Company Name: _______________________________________________
Prep Provider Representative: ________________________________________________
Date of Request: ___________________________________________________________
CFA Institute program (check only one):
□ CFA Level I (June)
□ CFA Level I (December)
□ CFA Level II
□ CFA Level III
□ CIPM Expert
□ CIPM Principles
□ Claritas
Please return this form (and the following page(s) if less than 30 candidates) to:
CFA Institute
P: (434) 951- 5499
Page 35
(Less than 30 candidates, page 1)
Candidates: By signing this form, you agree that CFA Institute may provide a Candidate Pass Rate Analysis Report
(“Report”) to the preparatory provider listed above. The Report will contain aggregated information related to you and
your fellow candidates’ exam results, including average scores by section. The Report will not contain your individual
results or any other personally identifiable data about you. If you have any questions, please contact
[email protected].
CFA
Institute
ID
Number
Last Name (Surname)
First Name (Given)
Signature
Date
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Page 36
(Less than 30 candidates, page 2)
Candidates: By signing this form, you agree that CFA Institute may provide a Candidate Pass Rate Analysis Report
(“Report”) to the preparatory provider listed above. The Report will contain aggregated information related to you and
your fellow candidates’ exam results, including average scores by section. The Report will not contain your individual
results or any other personally identifiable data about you. If you have any questions, please contact
[email protected].
CFA
Institute
ID
Number
Last Name (Surname)
First Name (Given)
Signature
Date
17
18
19
20
21
22
23
24
25
26
27
28
29
30
Page 37
Appendix F
PPGP Exam Center Exhibitor Request Form and Agreement
Prep Providers who wish to exhibit at the exam center must email this form no later than 15 April for the June exam / 15
October for the December exam to [email protected]. Requests submitted after the deadline will not be considered.
Due to security concerns, provider exhibits are not permitted at the test center venue unless prior approval is obtained from
CFA Institute. All exhibitors must read and agree to the Exam Center Guidelines. CFA Institute reserves the right to refuse
requests to exhibit.
•
•
Providers must notify CFA Institute of plans to exhibit by 15 April for the June exam / 15 October for the December exam by
submitting the Exam Center Exhibit form.
Those exhibiting must comply with any request made by individuals identifying themselves as CFA Institute staff, exam
administration specialists (EAS), exam supervisors, proctors, and security staff.
•
Provider presence at the exam center must not interfere with the candidate check-in process or candidate flow and must not
cause a noise disturbance during the administration of the exams.
•
Morning events cannot be allowed.
•
Providers may provide snacks and drinks only during the lunch break or at the conclusion of the afternoon session (after 5:00
PM) with exam venue approval first.
•
Materials such as pencils, flyers, T-shirts, etc., can only be distributed at the conclusion of the afternoon session with exam
venue approval first. Candidates are not permitted to bring printed matter and other materials into the testing room.
•
All handouts, including flyers, T-shirts, pencils, etc., must be submitted for approval by 15 April for the June exam / 15
October for the December exam.
•
Providers should not contact the exam venue to arrange exhibits prior to receiving authorization from CFA Institute. Once
CFA Institute has approved your event, reserve space early and coordinate directly with the venue. CFA Institute cannot
amend test center contracts to cover prep providers; therefore, the provider and the venue must enter into a distinct and
separate contractual agreement.
•
No photos shall be taken of exam-related events at the test center venue.
•
Failure of compliance to the terms outlined in this agreement can result in being in violation of the PPGP Providers Guidelines
and Responsibilities. Any onsite violation reported will be reviewed by CFA Institute.
Provider Company Name ^
/
Provider Street Address^
Contact Name^
/
City^
/
State/Province^
/
Country^
/
/
Contact Phone^
Contact Fax^
Postal^
Contact E-mail^
Page 38
Exhibit Data:
/
Exam Center^
Exhibit Location:
/
City ^
State/Province^
/
Country^
□ Inside Venue □ Off Venue Premises □ Both (Inside & Off)
/
Exam Date^
/
Exhibit Time-if offered by venue (Lunch / After Exam / Both)^
# of Exhibitors^
Provide a detailed description of your event. Include details regarding plans to post signage, distribute brochures, set up tables/booth,
provide snacks or drinks, etc.
/
Exhibitor Name^
Exhibitor E-Mail^
/
Exhibitor Phone^
Exhibitor E-Mail^
/
Exhibitor Phone^
Exhibitor E-Mail^
/
Exhibitor Phone^
Exhibitor E-Mail^
/
Exhibitor Phone^
/
Exhibitor Name^
/
Exhibitor Name^
/
Exhibitor Name^
We agree to comply with all terms and conditions of the Prep Provider Guidelines Program and the Exam Center Guidelines.
Provider Company Name: _____________________________________________
Contact Name (please print):___________________________________________
Contact Signature: ___________________________________________________
Please return this 2 page form to:
CFA Institute
P: (434) 951- 5499
Date: _______________
Page 39
Appendix G
Candidate Mailing List Request Form and Agreement
Provider Contact Information:
__________________________________________________________________________________
Provider Company Name^
__________________________________________________________________________________
Provider Billing Street Address^
______________________________/___________________/__________________/______________
Provider City^
State/Province^
Country^
Postal Code^
_______________________________________/__________________________/________________
Contact Name^
Contact Phone^
Contact Fax^
_______________________________________________/__________________________________
Contact E-mail^
Provider Website Address^
Shipping / Mail House Information:
Company Name:
____________________________________________________________
Address:
____________________________________________________________
____________________________________________________________
Contact Name:
____________________________________________________________
Phone Number:
_______________________
**E-mail:
_____________________________________________________________
**The email address of your Shipping/Mail House is required. Mailing Lists are available only by
Electronic Transfer in comma-delimited text format sent to a third party mail house or print shop.
Fax Number:
______________________
Billing/Payment Information:
You will be invoiced for the billing fees and can pay via credit/debit card, wire transfer, or check through our secure fax
number. Once you receive your invoice, you may fax your method of payment and invoice numbers to:
1-434-951-5240
Attn: Registrations and Revenue
Re: Prep Provider Guidelines Program
Page 40
Please Complete Mailing List Details for Electronic Transfer of Data (allow 24-48 business hours for turnaround
time). Mailing lists will include physical and email (Claritas Program only) addresses for only those candidates who “opt
in” to receive prep course product and service promotional materials (“Mailing Lists”). Mailing Lists for CFA Program and
CIPM Program candidates include physical addresses only; NO EMAIL ADDRESSES ARE PROVIDED. Where email
addresses are provided, Providers are responsible for tracking and managing all opt-outs and removing those
candidates from the mailing lists provided by CFA Institute. Names are rented on a one-time basis. No second use or
list enhancement of any kind is permitted from this list. This list may be seeded with decoy names (at no cost to Prep
Provider) to detect unauthorized use.
** Automatic mailing lists will be provided on or about the 8th and/or 22nd of each month. **
CFA Institute program (one program per request):
Exam year (one year per request): __________
CFA Level I (June)
CFA Level I (December)
CFA Level II
CFA Level III
CIPM Principles
CIPM Expert
Claritas physical addresses (monthly run schedule only-around 15th of month)
Claritas email addresses (monthly run schedule only-around 15th of month)
List Type: (one list type per request)
One-time only (please complete only the Location section below)
Automatic updates (please complete Run Schedule & Location sections below)
Run Schedule:
monthly (around 8th of month)
semi-monthly (around 8th & 22nd of each month)
June Requests: (Mar 22 last semi-monthly list) (Apr 8 last monthly list) (May 17 last 1Time Only list)
December Requests: (Sep 22 last semi-monthly list) (Oct 8 last monthly list) (Nov 17 last 1Time Only list)
Location*:
Worldwide
Other (See below)
Only Countries (Entire Country) listed here: _____________________________________________________________
For partial Country Info-Only State(s), Province(s), or SCF(s) (first 3 digits of zip code) listed below:
_________________________________________________________________________________________________
*Please note that all address information is self-entered and updated by the candidate so the data in these fields may be outdated and is subject to errors due to
misspellings, abbreviations, spacing/punctuation issues, etc. The data in this field is not verified by CFA Institute.
TERMS AND CONDITIONS:
1. Mailing lists are available to Prep Provider Guidelines Program Providers members only (“Providers”). To be
eligible to receive Mailing Lists, Providers must be in good standing (e.g. not in arrears on any Guidelines Program
fees/payments, not under any current Guidelines Program sanction/disciplinary action, etc.)
2. Providers are eligible to receive Mailing Lists only for candidates: (i) in their regional markets; (ii) who are
enrolled for the CFA Institute programs for which the Provider provides preparatory services.
3. Mailing lists exclude candidates who “opt-out” of receiving prep provider materials. Where email addresses are
provided, Providers are responsible for tracking and managing all opt-outs and removing those candidates from the
mailing lists provided by CFA Institute.
4. Fees are determined on a “per name” basis for each mailing list type (email and physical). If both physical and
Page 41
email lists are ordered, fees are assessed for both. The lists are provided “as is” and may contain inaccurate
address information. No refunds are available for addresses that are undeliverable.
5. Upon payment of the fees described in this Agreement, CFA Institute grants Provider a limited, nontransferable,
nonexclusive license to use the CFA Institute’s proprietary mailing list of names and physical addresses of
candidates (the “Mailing List”) for a single, one-time mailing which is germane to the interests of candidates and
which does not, in the sole opinion of CFA Institute, tend to mislead, misinform or deceive or which may be
distasteful in content or presentation. Provider’s mailing must be completed within six (6) months from receipt of
the Mailing List. CFA Institute’s rights in the Mailing List are not assigned or released as a result of this
Agreement, but are specifically reserved and retained by CFA Institute.
6. Provider may reference CFA Institute in a byline or text of the materials that will be mailed using the Mailing List
(“Mailing Materials”). However, the Mailing Materials shall contain the following notice: “CFA® and CFA
Institute® are the registered trademarks of CFA Institute. [Provider] is not affiliated with CFA Institute.”
7. Prior to use of the Mailing List, Provider shall provide CFA Institute with a copy of the Mailing Materials for
approval. CFA Institute, in its sole discretion, may decline to approve any part of the Mailing Materials. Provider
shall promptly notify CFA Institute of any consumer complaints regarding the Mailing Materials.
8. Provider understands that the confidentiality of the Mailing List is of the utmost importance to CFA Institute.
Provider shall take all reasonable efforts to protect the confidentiality of the Mailing List, and will not copy or
distribute the Mailing List, except that: (i) one back-up copy may be made for internal use by Provider’s staff; and
(ii) Provider may share the Mailing List with a Mail House, with which it has a signed contract to use the Mailing
List solely to send the Mailing Materials on Provider’s behalf. Provider shall destroy the Mailing List within 30
days of its use, and shall require any Mail House used to do the same.
9. Any misuse of the Mailing List by Provider or agent acting for the Provider shall constitute a material breach of
this Agreement. Provider shall indemnify and hold CFA Institute harmless against any damages or claim of
damage, costs and reasonable attorney fees, arising out of the breach of this section and/or any actual or alleged
impropriety or illegality of the Mailing List and Mailing Materials. If there is any violation of this section,
damages shall include a minimum of injunctive relief and such other relief as is authorized by law, including
reasonable attorney fees, court costs and expenses.
AGREED:
PROVIDER
________________________________________
(Prep Provider Company Name)
By:
_________________________________
(Signature)
Name: ________________________________ _
(Printed or Typed)
Please return this 3 page form to:
CFA Institute
P: (434) 951- 5499
_________________________________
(Office or Title)
Date: __________________________________
Page 42
Appendix H
2015 Curriculum Year Important Dates
June 2015 CFA exam (Level I, II, III)
Opening of registration: Wednesday, July 30, 2014
First program deadline: Wednesday, September 24, 2014
Second program deadline: Wednesday, February 18, 2015
Third program deadline: Wednesday, March 18, 2015
Exam Day: Saturday, June 6, 2015
December 2015 CFA exam (Level I only)
To be announced via PPGP Resource Center when information becomes available
2015 CIPM exam
April: (Entire Month) April 1- April 30, 2015 via Pearson Vue, our testing partner
October: (Entire Month) October 1- October 31, 2015 via Pearson Vue, our testing partner
Claritas exam
Continuous enrollment
PPGP Membership Renewal: (June-August every year) Deadline is August 31
Candidate Mailing List Requests:
June Requests: (March 22 last semi-monthly list) (April 8 last monthly list) (May 17 last 1Time list)
December Requests: (Sept 22 last semi-monthly list) (Oct 8 last monthly list) (Nov 17 last 1 Time list)
Candidate Pass Rate Analysis Reports
No Deadline for requesting CPRA
Candidate Registration Reports
Posted to PPGP Resource Center website around 1st week of every month (for previous month)
Exam Day Exhibiting Requests:
June (Forms sent to PPs again on Sept 1) (deadline reminder sent on first week of October)
Deadline to register for Exam Day Exhibiting: 15 April for June Exam
December (Forms sent to PPs again on Mar 1) (deadline reminder sent on first week of April)
Deadline to register for Exam Day Exhibiting: 15 October for December Exam
Spring Teleconference (Held late March/early April every year)
SLC (Society Leadership Conference): Event held in September every year
Deadline to register: roughly August 1 (PPGP Annual Meeting held the day before SLC every year)
Page 43

Prep Provider Guidelines Program Manual CFA® CIPM®

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