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Avalon · 2024年11月11日

还有就是勾引前雇主客户也不违规吗?

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.

这题迷惑项给人一种刻意为之的感觉,奇奇怪怪的

1 个答案
已采纳答案

王暄_品职助教 · 2024年11月11日

在离开雇主后,我们可以使用公开信去“勾引”前雇主的客户的。在判断Thompson是否“勾引”前雇主客户时,我们需要考虑他是否利用了从Reliable Finance获取的机密或专有信息。根据题目描述,他并没有这样做,所以这部分行为并不构成违规。

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