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.
这里不违反的原因是因为他之前的客户都是亲友类的,所以不需要借用原公司的资源名单来招揽客户对吗?