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次第花开 · 2020年08月10日

问一道题:NO.PZ2016040303000020

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.

A选项为什么不正确呢?在职期间不是都不允许进行independent practice么

1 个答案

王暄_品职助教 · 2020年08月12日

嗨,从没放弃的小努力你好:


员工并没有没被CFA准则禁止做independence practice, 但必须要通知雇主,并收到雇主的同意才能做。

下面是原版书中的内容,请读标黄处。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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