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过儿 · 2022年04月06日

这题我选了b

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.

准则IV(A)忠诚这条讨论了CFA会员在离职后不可以做的事,尤其禁止勾引前雇主的客户。

我觉得就是充分披露啊

反观c,我在职想找新工作无可厚非,不可能cfa持证人都是裸辞的吧?

我投资的资金可以自带资金进组的不是吗。

另外离职的投资人哪里能带客户资金进组?

这题c选项狠奇怪

1 个答案

王暄_品职助教 · 2022年04月08日

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.

C意思为:一名CFA会员和持证人不可以接受这个新岗位,除非已经离职。

这是肯定,你必须要先保持离职状态,才可以进入新的岗位,即便不是裸辞,你再加入新岗位那一刻,必须要是离职状态。

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