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leozhenlin · 2020年10月19日

问一道题:NO.PZ2018062009000027

问题如下:

After leaving his employer, Smith establishes his own investment company. Smith offers a $21,000 reward to any consultant who has joined his company with an investment of at least $300,000. Smith released opening information on some career search websites and industry portals. According to Code and Standards, which of the following statements is most likely correct?

选项:

A.

Since Smith's incentive offer violates the Code and Standards, no member or candidate may accept the appointment of a new company.

B.

If a member or candidate can arrange enough existing customers to switch to a new company and the member or candidate publishes the incentive fee, that member or candidate can accept the appointment and awards.

C.

A member or candidate may not accept the new appointment unless he is currently unemployed because it is forbidden to solicit the clients of the member’s current employer.

解释:

C is correct.

Standard IV(A) - Loyalty discusses the activities that members and candidates can do after leaving their current employer. It is strictly prohibited from soliciting clients.

老师题目没有读懂,可以讲下abc三个选项的意思么

1 个答案

王暄_品职助教 · 2020年10月20日

嗨,爱思考的PZer你好:


A. Smith的offer违反了准则,任何CFA会员或持证人都不可以接受。

  • 这是不对的,当今已经属于商业社会,带金进公司是很正常的现象,Smith没有违反准则,而且一个没有工作的CFA会员或持证人也可以选择带金如公司。

B. 如果CFA会员或持证人可以带着现有客户来到这个新公司,并且披露介绍费,那么他可以解释这个职位和奖励

  • 不可以,因为还没离职的时候不可以勾引原雇主的客户。

C.CFA会员或者持证人只有在离职的情况下才能接受这个新的职位,因为CFA准则禁止员工处于在职状态的时候去勾引原雇主客户并带入新公司。

  • 这条正确

-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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