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游游 · 2025年02月13日

c为啥错了

NO.PZ2023021602000076

问题如下:

Cannan has been working from home on weekends and occasionally saves correspondence with clients and completed work on her home computer. Because of worsening market conditions, Cannan is one of several employees released by her firm. While Cannan is looking for a new job, she uses the files she saved at home to request letters of recommendation from former clients. She also provides to prospective clients some of the reports as examples of her abilities.

选项:

A.Cannan violated the Code and Standards because she did not receive permission from her former employer to keep or use the files after her employment ended.

B.Cannan did not violate the Code and Standards because the files were created and saved on her own time and computer.

C.Cannan violated the Code and Standards because she is prohibited from saving files on her home computer.

解释:

According to Standard V(C)-Record Retention, Cannan needed the permission of her employer to maintain the files at home after her employment ended. Without that permission, she should have deleted the files. All files created as part of a member's or candidate's professional activity are the property of the firm, even those created outside normal work hours. Thus, answer B is incorrect. Answer C is incorrect because the Code and Standards do not prohibit using one's personal computer to complete work for one's employer.

不是说资料不能保存在自己的个人电脑上吗

1 个答案

小刘_品职助教 · 2025年02月13日

嗨,努力学习的PZer你好:


不能一概将CFA协会准则认定为完全禁止在个人电脑上保存资料,这里更要关注的是资料的归属权以及在雇佣关系变化时对资料的合规性的处理。

Cannan周末在家工作,把和客户的通信以及完成的工作保存在了自己的电脑上,这还算是是比较常见的事情,但是,当她被公司解雇后,在未经前雇主许可的情况下,利用之前的电脑的记录来请求前客户提供推荐信,还将部分报告提供给潜在客户展示,这些文件是属于公司财产的,在雇佣关系结束后,没有获得雇主允许就继续保留和使用这些文件,违反了CFA协会准则。

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努力的时光都是限量版,加油!

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