NO.PZ2024022002000027
问题如下:
While employed at Pacific Securities, Jimmy Lan, CFA, and a renowned analyst in Japanese tech companies, spent weekends setting up JL Consulting. After resigning, he applies his previously acquired expertise to create models for the same companies he used to cover and solicits business from former clients via public sources. Do Lan’s actions align with the CFA Institute’s Code and Standards?选项:
A.Yes, provided he didn't breach any non-compete clauses with Pacific Securities.
B.No, as initiating a new business venture during his tenure at Pacific Securities is not allowed.
C.No, because the expertise and client knowledge he acquired at Pacific Securities are considered confidential.
解释:
Option A is correct. Lan adhered to Standard IV–Duties to Employers by not utilizing Pacific’s time or assets for his new business and not misusing any confidential information from his former employer. Utilizing his general skills and experience and reaching out to ex-clients through public means fall within acceptable professional conduct under the CFA Institute’s standards.
什么情况下不能招揽前客户来着?