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徐威廉 · 2020年03月26日

问一道题:NO.PZ2016040301000027 [ CFA II ]

问题如下:

A former hedge fund manager, Jackman, has decided to launch a new private wealth management firm. From his prior experiences, he believes the new firm needs to achieve US$1 million in assets under management in the first year. Jackman offers a $10,000 incentive to any adviser who joins his firm with the minimum of $200,000 in committed investments. Jackman places notice of the opening on several industry web portals and career search sites. Which of the following is correct according to the Code and Standards?

选项:

A.

A member or candidate is eligible for the new position and incentive if he or she can arrange for enough current clients to switch to the new firm and if the member or candidate discloses the incentive fee.

B.

A member or candidate may not accept employment with the new firm because Jackman’s incentive offer violates the Code and Standards.

C.

A member or candidate is not eligible for the new position unless he or she is currently unemployed because soliciting the clients of the member’s or candidate’s current employer is prohibited.

解释:

C is correct.

Answer Standard IV(A) –Loyalty discusses activities permissible to members and candidates when they are leaving their current employer; soliciting clients is strictly prohibited. Thus, answer A is inconsistent with the Code and Standards even with the required disclosure. Answer B is incorrect because the offer does not directly violate the Code and Standards. There may be out-of-work members and candidates who can arrange the necessary commitments without violating the Code and Standards.

C选项能不能翻译一下?
1 个答案
已采纳答案

发亮_品职助教 · 2020年03月26日

嗨,爱思考的PZer你好:


这道题的题干是这样,Jackman同学自己开了一家资管公司,然后他现在在招人。

他在网上公布的消息是:任何应聘的员工只要能带来20万的管理资金,就能收到1万元的奖励。

然后C说,Member or candidate只有在离职状态时(currently unemployed)才能应聘该职位,因为在职状态带走雇主的客户是违反准则的。

C选项完全正确。在职状态,带走原雇主的客户是违反Loyalty to employer的。

因为这个职业的要求是应聘者带来一定量的资金,所以在职状态应聘意味着要带走当前雇主的客户,这点肯定不行,只能说是离职之后,利用Public information联系客户,然后应聘。


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