这个基金经理写了是former,那是不是可以认为已经离职?那为什么还是违反呢?
问题如下图:
选项:
A.
B.
C.
解释:
NO.PZ2016040303000027 问题如下 A former hee funmanager, Jackman, hcito launa new private wealth management firm. From his prior experiences, he believes the new firm nee to achieve US$1 million in assets unr management in the first year. Jackmoffers a $10,000 incentive to any aiser who joins his firm with the minimum of $200,000 in committeinvestments. Jackmplaces notiof the opening on severinstry web portals ancareer searsites. Whiof the following is correaccorng to the Co anStanr? A.A member or cante is eligible for the new position anincentive if he or she carrange for enough current clients to switto the new firm anif the member or cante scloses the incentive fee. B.A member or cante mnot accept employment with the new firm because Jackman’s incentive offer violates the Co anStanr. C.A member or cante is not eligible for the new position unless he or she is currently unemployebecause soliciting the clients of the member’s or cante’s current employer is prohibite is correct.Answer StanrIV(–Loyalty scusses activities permissible to members ancantes when they are leaving their current employer; soliciting clients is strictly prohibite Thus, answer A is inconsistent with the Co anStanr even with the requiresclosure. Answer B is incorrebecause the offer es not rectly violate the Co anStanr. There mout-of-work members ancantes who carrange the necessary commitments without violating the Co anStanr. 为什么B是不对的呀?incentive offer不是不可以嘛(勾引客户了!
NO.PZ2016040303000027 A member or cante mnot accept employment with the new firm because Jackman’s incentive offer violates the Co anStanr. A member or cante is not eligible for the new position unless he or she is currently unemployebecause soliciting the clients of the member’s or cante’s current employer is prohibite C is correct. Answer StanrIV(–Loyalty scusses activities permissible to members ancantes when they are leaving their current employer; soliciting clients is strictly prohibite Thus, answer A is inconsistent with the Co anStanr even with the requiresclosure. Answer B is incorrebecause the offer es not rectly violate the Co anStanr. There mout-of-work members ancantes who carrange the necessary commitments without violating the Co anStanr. 如何理解绿色部分内容
NO.PZ2016040303000027 A member or cante mnot accept employment with the new firm because Jackman’s incentive offer violates the Co anStanr. A member or cante is not eligible for the new position unless he or she is currently unemployebecause soliciting the clients of the member’s or cante’s current employer is prohibite C is correct. Answer StanrIV(–Loyalty scusses activities permissible to members ancantes when they are leaving their current employer; soliciting clients is strictly prohibite Thus, answer A is inconsistent with the Co anStanr even with the requiresclosure. Answer B is incorrebecause the offer es not rectly violate the Co anStanr. There mout-of-work members ancantes who carrange the necessary commitments without violating the Co anStanr.B介绍客户可以收激励费吗
A member or cante mnot accept employment with the new firm because Jackman’s incentive offer violates the Co anStanr. A member or cante is not eligible for the new position unless he or she is currently unemployebecause soliciting the clients of the member’s or cante’s current employer is prohibite C is correct. Answer StanrIV(–Loyalty scusses activities permissible to members ancantes when they are leaving their current employer; soliciting clients is strictly prohibite Thus, answer A is inconsistent with the Co anStanr even with the requiresclosure. Answer B is incorrebecause the offer es not rectly violate the Co anStanr. There mout-of-work members ancantes who carrange the necessary commitments without violating the Co anStanr.题干里没有说新加入的aisor获取客户的来源只能是其前雇主啊,如果一个现任基金员工被挖走,他有资源带其他客户一起过去,不从前雇主处挖人,也不行吗?
A的错误在于即使做了披露也是不能收佣金介绍客户吗? 那么如果是与现有工作不相关的其他工作收入,是否披露了就可以呢?