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.
这里招揽客户,不需要经过雇主同意吗?