开发者:上海品职教育科技有限公司 隐私政策详情

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Flying马 · 2024年11月08日

所以题目中

NO.PZ2024022002000050

问题如下:

John Thompson, a CFA charterholder, is employed at Reliable Finance. Outside of work, Thompson initiates a freelance consulting firm, advising trustees for a fee. As this is a side job, he doesn’t notify Reliable Finance about his consulting activities. Thompson requests his assistant to gather a list of Reliable Finance’s clients and their contact details. Later, Thompson accepts a position at Reliable Finance's main rival, Trustworthy Asset Management. Once at Trustworthy, his superior sets up meetings for him with several potential clients, some of whom are Reliable Finance’s clients. Following discussions with Thompson, several of these clients decide to move their accounts to Trustworthy. Has Thompson breached the Code and Standards?

选项:

A.No

B.Yes, Thompson's freelance consulting work breaches the Standards

C.Yes, both Thompson's freelance consulting and his interactions with Reliable Finance's clients breach the Standards

解释:

The correct response is B because CFA members and candidates must disclose to their employers any compensatory arrangements for services that could also be offered by their employers. This disclosure is necessary even if the activities are conducted outside of office hours. Working for a competitor is not a violation of Standard IV(A) in itself. Additionally, Thompson did not use confidential information from Reliable Finance to approach former clients. Although he had a client contact list from his previous job, it was his new employer who organized the meetings.

“让助手收集原雇主客户信息”那句话  是纯粹的干扰项?

1 个答案

王暄_品职助教 · 2024年11月09日

嗨,努力学习的PZer你好:


“让助手收集原雇主客户信息”这一行为可以被视为一个干扰项,它并不直接决定Thompson是否违反了CFA的道德准则。


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