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西红柿面 · 2025年01月07日

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?

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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?

1 个答案

王暄_品职助教 · 2025年01月08日

Nano不违反Standards的主要原因并不是因为他的客户都是亲友类的。关键在于,他是在离开Patriarch之后才联系客户并询问他们是否愿意转移账户到Markoe Advisors的。

Standard IV(A)禁止员工在离职前招揽雇主的客户,但离职后则没有这样的限制。因此,Nano在离职后联系客户并询问他们是否愿意跟随他转移账户,这一行为是符合CFA职业道德标准的。所以,选项是正确的。客户是否是亲友类并不是决定因素,关键在于他联系客户的时间点是在离职之后。

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NO.PZ201604030300004201 问题如下 1. es Nano comply with the CFA Institute Stanr of ProfessionConwhen he asks his clients to transfer their accounts to Markoe Aisors? A.No. B.Yes, because he contactethe clients after leaving Patriarch. C.Yes, because he wintern annot a paiemployee of Patriarch. B is correct.StanrIV(prohibits employees from soliciting the clients of employers prior to, but not subsequent to, their parture. 这里招揽客户,不需要经过雇主同意吗?

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2024-07-28 18:37 1 · 回答

NO.PZ201604030300004201 离职之后,不通过原雇主的资源是可以吸引客户的,为什么这里吸引家人和朋友是不可以的呢?

2021-11-20 23:46 1 · 回答

NO.PZ201604030300004201 离职后不是不可以联系带走客户吗

2021-04-19 16:06 1 · 回答