NO.PZ201604030300004201
问题如下:
1. Does Nano comply with the CFA Institute Standards of Professional Conduct when he asks his clients to transfer their accounts to Markoe Advisors?
选项:
A.No.
B.Yes, because he contacted the clients after leaving Patriarch.
C.Yes, because he was an intern and not a paid employee of Patriarch.
解释:
B is correct.
Standard IV(A) prohibits employees from soliciting the clients of employers prior to, but not subsequent to, their departure.
Nano transfer 的都是自己的家人和朋友,本来就是利用自己原有的信息渠道拉来的客户,又不是用的原公司的信息资源,难道Nano明明自己有家人和朋友的联系方式,都永远不能联系拉客户过来?