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sarah_xu · 2020年03月18日

问一道题:NO.PZ2016040301000020 [ CFA II ]

问题如下:

Which of the following statements is correct under the Code and Standards?

选项:

A.

CFA Institute members and candidates are prohibited from undertaking independent practice in competition with their employer.

B.

Written consent from the employer is necessary to permit independent practice that could result in compensation or other benefits in competition with a member’s or candidate’s employer.

C.

Members and candidates are prohibited from making arrangements or preparations to go into a competitive business before terminating their relationship with their employer.

解释:

B is correct.

Under Standard IV(A) –Loyalty, members and candidates may undertake independent practice that may result in compensation or other benefit in competition with their employer as long as they obtain consent from their employer. Answer C is not consistent with the Standards because the Standards allow members and candidates to make arrangements or preparations to go into competitive business as long as those arrangements do not interfere with their duty to their current employer. Answer A is not consistent with the Standards because the Standards do not include a complete prohibition against undertaking independent practice.

请问c为什么不对,不应该是在离职前不从事竞争业务吗

1 个答案

发亮_品职助教 · 2020年03月18日

嗨,从没放弃的小努力你好:


“请问c为什么不对,不应该是在离职前不从事竞争业务吗”


是的,不能从事竞争业务。但是,可以开展前期准备。

例如,A同学是一名基金经理,他准备离职自己开办一家基金公司,那A同学在离职之前,利用自己的业余时间可以进行公司注册,员工招聘等等准备事宜。

这种前期准备事项,并没有和自己的本职工作产生冲突、竞争关系。所以,这些事情不违反条例。


参考准则的原话:

A departing employee is generally free to make arrangements or preparations to go into a competitive business before terminating the relationship with his or her employer as long as such preparations do not breach the employee’s duty of loyalty.

即,离职的员工可以开展前期准备,只要不违反Duty of loyalty。如上面的举例,公司注册,员工招聘并没有和原雇主的业务产生竞争关系,因此可以进行。


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努力的时光都是限量版,加油!


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