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小叶子11 · 2021年02月25日

介绍客户可以受奖励费吗

NO.PZ2016040303000027

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.

B选项介绍客户可以收激励费吗
1 个答案
已采纳答案

王暄_品职助教 · 2021年02月26日

收incentives当然可以,这是现在商业社会很普遍的现象

但是前提:

第一你要离职

第二不通过原雇主的客户名单勾引客户,要通过公共方式勾引客户。

第三把incentives fee披露给客户

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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!

2023-02-03 15:46 2 · 回答

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2022-03-06 23:44 1 · 回答

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2020-10-07 21:30 1 · 回答

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?

2020-06-11 09:59 1 · 回答