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Linda · 2024年05月14日

可以帮忙解释一下吗

NO.PZ2023021602000055

问题如下:

Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non-solicitation agreement he signed several years ago. Loots received permission to take his investment performance history with him and also took a copy of the firm's software-trading platform. Subsequently, Loots sent out messages on social media sites announcing he was looking for clients for his new investment management firm. Access to Loots's social media sites is restricted to friends, family, and former clients. Loots least likely violated the CFA Institute Standards of Professional Conduct concerning his:

选项:

A.non-solicitation agreement. B.investment performance history. C.trading software.

解释:

The portfolio manager received permission to use his investment performance history from his prior employer. The member violated his non-solicitation agreement by indicating his availability to new clients on several social media sites accessible by clients of his former employer. This action is a violation of Standard IV(A)–Loyalty because he did not act for the benefit of his former employer. In this case, the member may cause harm to his former employer if his messages result in clients moving to his new business from his former employer. The member also violated Standard IV(A) by taking his employer's property, the trading software.

我记得何老师讲过利用自己的社交媒体联系老客户不违反对前雇主的忠诚

1 个答案

王暄_品职助教 · 2024年05月14日

嗨,爱思考的PZer你好:


 Loots作为CFA持证人,在离开与其签有禁止招揽协议的投资公司后,通过社交媒体发布消息,表明他正在为自己的新投资管理公司寻找客户。关键信息包括他获得了带走自己投资业绩历史的许可,并复制了公司的交易软件平台。随后,他在社交媒体上发布了消息,但这些网站的访问仅限于朋友、家人和前客户。

A. 禁止招揽协议(non-solicitation agreement):

Loots通过社交媒体发布自己正在寻找新客户的消息,这违反了与前雇主签订的禁止招揽协议。即使他的社交媒体访问受限,但由于可能包括前雇主的客户,因此这一行为仍然是对前雇主的不忠诚,可能损害前雇主的利益,从而违反了CFA道德规范中的忠诚原则(Standard IV(A)–Loyalty)。

B. 投资业绩历史(investment performance history):

由于Loots获得了前雇主的许可,可以带走并使用自己的投资业绩历史,因此他在这方面的行为并没有违反CFA的道德规范。

C. 交易软件(trading software):

Loots未经授权复制了前雇主的交易软件,这是对公司财产的侵犯,违反了CFA道德规范中的忠诚原则。

关于你提到的“利用自己的社交媒体联系老客户不违反对前雇主的忠诚”,。在一般情况下,与老客户保持联系并不必然违反忠诚原则,特别是如果这些老客户主动联系你。然而,在这个案例中,由于Loots与前雇主之间有明确的禁止招揽协议,他通过社交媒体(即使是限制访问的)发布寻找新客户的消息,很可能被视为违反了该协议和忠诚原则。

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