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小贝 · 2020年09月19日

问一道题:NO.PZ2016040303000020 [ CFA III ]

问题如下:

Which of the following statements is correct under the Code and Standards?

选项:

A.

CFA Institute members and candidates are prohibited from undertaking independent practice in competition with their employer.

B.

Written consent from the employer is necessary to permit independent practice that could result in compensation or other benefits in competition with a member’s or candidate’s employer.

C.

Members and candidates are prohibited from making arrangements or preparations to go into a competitive business before terminating their relationship with their employer.

解释:

B is correct.

Under Standard IV(A) –Loyalty, members and candidates may undertake independent practice that may result in compensation or other benefit in competition with their employer as long as they obtain consent from their employer. Answer C is not consistent with the Standards because the Standards allow members and candidates to make arrangements or preparations to go into competitive business as long as those arrangements do not interfere with their duty to their current employer. Answer A is not consistent with the Standards because the Standards do not include a complete prohibition against undertaking independent practice.

a说的是禁止从事竞争的 哪里不对吗
2 个答案

王暄_品职助教 · 2020年09月20日

嗨,从没放弃的小努力你好:


CFA准则没有禁止我们去做independent practice,我们可以做,但是必须取得雇主的同意。

请看下图基础班讲义我画框的部分:

 


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加油吧,让我们一起遇见更好的自己!


王暄_品职助教 · 2020年09月20日

嗨,爱思考的PZer你好:


CFA准则没有禁止我们去做independent practice,我们可以做,但是必须取得雇主的同意。

请看下图基础班讲义我画框的部分:

 


-------------------------------
努力的时光都是限量版,加油!


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