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(๑• . •๑) · 2020年11月03日

问一道题:NO.PZ2016032801000020 [ CFA I ]

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.

老师,何老师上课是说过IV(A)这一条原则是不能损害雇主的利益,而课件标红第二句话也是要回避与雇主利益冲突的竞争性业务。那么a为什么不对??

(๑• . •๑) · 2020年11月03日

不好意思,是a为什么是对的?

2 个答案

王暄_品职助教 · 2020年11月04日

上面意思就是应该回避与雇主相竞争的业务,但是下面都是例外

同学可以再看红框下面的话,写的也很明确:我们不应该从事与雇主相竞争的业务,除非receive consent from their employer

所以CFA准则并没有定死,我们一定不能从事相竞争的业务,给我们留了空间。

王暄_品职助教 · 2020年11月04日

嗨,从没放弃的小努力你好:


准则没有禁止我们去做independent practice,我们可以做,但是必须取得雇主的同意。

请看下图基础班讲义我画框的部分:


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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


(๑• . •๑) · 2020年11月04日

老师,可是怎么解释框框上面那句标红的话呢