开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

徐威廉 · 2020年08月30日

问一道题:NO.PZ2016040301000027 [ CFA II ]

问题如下:

A former hedge fund manager, Jackman, has decided to launch a new private wealth management firm. From his prior experiences, he believes the new firm needs to achieve US$1 million in assets under management in the first year. Jackman offers a $10,000 incentive to any adviser who joins his firm with the minimum of $200,000 in committed investments. Jackman places notice of the opening on several industry web portals and career search sites. Which of the following is correct according to the Code and Standards?

选项:

A.

A member or candidate is eligible for the new position and incentive if he or she can arrange for enough current clients to switch to the new firm and if the member or candidate discloses the incentive fee.

B.

A member or candidate may not accept employment with the new firm because Jackman’s incentive offer violates the Code and Standards.

C.

A member or candidate is not eligible for the new position unless he or she is currently unemployed because soliciting the clients of the member’s or candidate’s current employer is prohibited.

解释:

C is correct.

Answer Standard IV(A) –Loyalty discusses activities permissible to members and candidates when they are leaving their current employer; soliciting clients is strictly prohibited. Thus, answer A is inconsistent with the Code and Standards even with the required disclosure. Answer B is incorrect because the offer does not directly violate the Code and Standards. There may be out-of-work members and candidates who can arrange the necessary commitments without violating the Code and Standards.

看了解析,感觉A选项没有错啊?
1 个答案
已采纳答案

王暄_品职助教 · 2020年08月31日

嗨,爱思考的PZer你好:


A的错误在于没说清楚。CFA的会员不可以从原雇主那里勾引客户,只有离职后,通过公共的社交网络招揽客户才可以

你一开始可能会对A有所犹豫,但是看到C选项之后,会感到C更加严谨,所以我们选C


-------------------------------
加油吧,让我们一起遇见更好的自己!