孙际尧 · 2021年04月19日
* 问题详情，请 查看题干
NO.PZ201604030300004201
问题如下：
1. Does Nano comply with the CFA Institute Standards of Professional Conduct when he asks his clients to transfer their accounts to Markoe Advisors?
选项：
A.No.
B.Yes, because he contacted the clients after leaving Patriarch.
C.Yes, because he was an intern and not a paid employee of Patriarch.
解释：
B is correct.
Standard IV(A) prohibits employees from soliciting the clients of employers prior to, but not subsequent to, their departure.
离职后不是不可以联系带走客户吗
NO.PZ201604030300004201 问题如下 1. es Nano comply with the CFA Institute Stanr of ProfessionConwhen he asks his clients to transfer their accounts to Markoe Aisors? A.No. B.Yes, because he contactethe clients after leaving Patriarch. C.Yes, because he wintern annot a paiemployee of Patriarch. B is correct.StanrIV(prohibits employees from soliciting the clients of employers prior to, but not subsequent to, their parture. 这里招揽客户，不需要经过雇主同意吗？
NO.PZ201604030300004201 问题如下 EliNano, a recent Mgraate ana CFA Level II cante, is unpaisummer intern with PatriarInvestment Counsel anexpects to offerea full-time paiposition in the fall. Through his efforts, he is able to convinsome family members anfrien to become clients of the firm, anhe now assists with the management of their accounts. His supervisor congratulates him anstates: \"These clients are the fountion from whiyou will able to builyour career investment aisor.\" After working harall summer, Nano is tolthPatriarwill not able to offer him a paiposition.Nano interviews with a number of firms, antells eaone about the accounts thhe is managing anexpects to able to bring with him. Because he wmerely intern Patriarch, he es not think he owes any particulloyalty to Patriarch. He gains further assuranthhe ckeep the clients from the fathhis former supervisor implieththese were Nano’s clients.Nano subsequently joins Markoe Aisors assistant rector with supervisory responsibilities. Markoe Aisors is investment management firm thaertises thit provis customizeportfolio solutions for invianinstitutionclients. a matter of policy, Markoe es not rejea client any invimeeting the account minimum size. Markoe htwo strategies—aggressive growth equity angrowth equity—anis always fully investe Nano asks his family anfrien to transfer their accounts from Patriarto Markoe.the first CFA cante to employeMarkoe, Nano hbeen asketo hea tethis reviewing the firm’s complianpolicies anproceres, whiNano consirs inaquate anincomplete. He states his concerns to Presint Markoe: \"Although Markoe Aisors, a firm, cannot apt the CFA Institute Co of EthianStanr of ProfessionConct, the firm capt the CFA Institute Asset Manager Co of ProfessionConct.\" Presint Markoe tells Nano ththe firm is consiring acquiring another aisory firm thhsimilcomplianpolicies anproceres. Markoe says: \"We are not going to consir any complianchanges this time.\"Nano cis to aft a mol compliancument to gui scussions about complianissues the firm in the future. Nano’s initiaft inclus the following components of a complianpolistatement:1. PerformanPresentationPerformanta must cumentefor eaof Markoe Aisors’ active accounts, scloseupon request, ancomparewith the firm’s composite, whiis composeof active accounts only. Performanta must presenteon a before-tbasis to all clients, with the sclosure thall performanta are presentegross of fees.2. Suitability of InvestmentsMarkoe Aisors, to maintain consistenof performance, assigns eaclient to one of the firm’s two portfolios. Both of these portfolios are sufficiently broay versifieto meet the investment objectives of all of our clients.3. sclosures of Conflicts Markoe Aisors encourages its staff to involvein the business ancivic community. Only business or civic interests threlate to current portfolio holngs neeto reporteto the firm.4. ViolationsAny violation of the Markoe Aisors complianpolistatement will reporteto the presint, anemployees will receive officiwarning.5. CompensationAll staff members of Markoe Aisors will scuss with their supervisor all outsi compensation ththey are receiving or mreceive.1. es Nano comply with the CFA Institute Stanr of ProfessionConwhen he asks his clients to transfer their accounts to Markoe Aisors? A.No. B.Yes, because he contactethe clients after leaving Patriarch. C.Yes, because he wintern annot a paiemployee of Patriarch. B is correct.StanrIV(prohibits employees from soliciting the clients of employers prior to, but not subsequent to, their parture. 如题
NO.PZ201604030300004201 离职之后，不通过原雇主的资源是可以吸引客户的，为什么这里吸引家人和朋友是不可以的呢？
NO.PZ201604030300004201 Nano transfer 的都是自己的家人和朋友，本来就是利用自己原有的信息渠道拉来的客户，又不是用的原公司的信息资源，难道Nano明明自己有家人和朋友的联系方式，都永远不能联系拉客户过来？
