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shanshanjin · 2021年03月31日

Nano transfer 的都是自己的家人和朋友,为什么不行

* 问题详情,请 查看题干

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?

2 个答案

王暄_品职助教 · 2021年03月31日

谢谢老师,我太粗心了,把提干看错了,总以为是violate

————————

没关系的,这就是做题的重要,吃一堑长一智。现在做错都不要紧,反而是增加了经验 :)

王暄_品职助教 · 2021年03月31日

你理解的没错,Nano在离开公司后完全可以通过自己私下的方式联系客户,无论是否是同事或家人,都可以联系,只要是通过自己的方式并非窃取前雇主的客户名单即可。

但本题的问题问的是Nano是否comply with CFA code and standards,所以B选项,说“yes”,即表示Nano的行为符合准则的标准。


shanshanjin · 2021年03月31日

谢谢老师,我太粗心了,把提干看错了,总以为是violate

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2024-07-28 18:37 1 · 回答

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2021-11-20 23:46 1 · 回答

NO.PZ201604030300004201 离职后不是不可以联系带走客户吗

2021-04-19 16:06 1 · 回答