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Roddy · 2020年10月07日

问一道题:NO.PZ2016040303000027 [ CFA III ]

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.

题干里没有说新加入的advisor获取客户的来源只能是其前雇主啊,如果一个现任基金员工被挖走,他有资源带其他客户一起过去,不从前雇主处挖人,也不行吗?
1 个答案

Debrah_品职答疑助手 · 2020年10月09日

嗨,努力学习的PZer你好:


同学你好,你理解的是正确的,题干没有说,所以C的说法是正确的,C说的是从原雇主勾搭人“soliciting",这种做法是被禁止的。A是错误的,arrange for enough current clients to switch to the new firm 安排现在的客户转投新公司是禁止的。


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努力的时光都是限量版,加油!


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