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nurwinter · 2021年06月13日

可以解释一下题目和abc三个选项吗

NO.PZ2016032801000020

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.

可以解释一下题目和abc三个选项吗

1 个答案

王暄_品职助教 · 2021年06月13日

题目问以下哪个选项的内容符合CFA的要求:


A. CFA准则禁止member and candidates 在职时,从事与雇主相竞争的职业。


这里independent practice是一个专属名词,指的就是【与雇主相竞争的职业】。根据准则的要求,员工并没有没被CFA准则禁止做independence practice, 但必须要通知雇主,并收到书面同意才能做。所以选项A错误。


B. 当CFA member or candidates在职时,并要从事与雇主相竞争的职业作为兼职并获得报酬,那么雇主的书面同意是必须的。


选项B符合准则的要求,也就是我在A中所说的,协会并不禁止,只是需要获得雇主的书面同意后,方可做independent practice。所以答案选B


C. Member and candidates禁止在离职前,为将来从事与雇主相竞争的职业做准备。


协会允许在离职前,为下一次工作做准备,只要不正式开展业务即可。所以选项C错误。

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