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Frances · 2024年06月03日

Handbook的题

NO.PZ2024022002000240

问题如下:

Upon departing from an asset management firm where he was bound by a non-solicitation clause, Jan Loots, CFA, was granted approval to retain his track record for future use but also appropriated the company’s unique trading software. Later, he employed social networking to solicit clientele for his burgeoning fund, limiting viewership to personal connections and past patrons. In this scenario, which action by Loots is most defensible under the CFA Institute Standards of Professional Conduct?

选项:

A.Acquisition of the trading software. B.Breach of the non-solicitation covenant. C.Utilization of his performance metrics.

解释:

Option C is justified as Loots had received prior consent to apply his performance history in his new venture, aligning with the standards. Conversely, absconding with the firm's specialized trading software constitutes a clear violation of loyalty and respect for company resources under Standard IV(A). Furthermore, his attempt to attract new clients via social media, potentially accessible to his former firm's clientele, challenges the terms of his non-solicitation agreement, risking a breach of the same standard regarding loyalty to his past employer.

Handbook的题可不可以不做?感觉与其考考点,不如说在考单词,总是很别扭

1 个答案

王暄_品职助教 · 2024年06月03日

Handbook的题目是协会出的,还是需要做题去体会协会的出题风格

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