请教一道关于CFA道德的题目

是 否 +2 论坛币

k人 参与回答

经管之家送您一份

应届毕业生专属福利!

求职就业群

赵安豆老师微信：zhaoandou666

经管之家联合CDA

送您一个全额奖学金名额~ !

立即领取

感谢您参与论坛问题回答

经管之家送您两个论坛币！

+2 论坛币

27. 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?
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.
(Level I Volume 1 Ethical and Professional Standards and Quantitative Methods , 6th Edition. Pearson Learning Solutions p. 158).
<vbk:9780558654801#page(158)>


答案是： C

而我选择的是B，因为我觉得member and candidate可能会冲着$10,000而去Jackman的公司，而不是完全基于clients的利益。

不知道大家怎么理解这道题。

谢谢

扫码加我 拉你入群

请注明：姓名-公司-职位

以便审核进群资格，未注明则拒绝

分享0 收藏0 回帖

关键词：CFA道德 CFA Quantitative Professional Experiences management following industry believes private

这样的吸引并没有冲突准则   如果应聘者不从被雇佣的公司招原有的客户 比方说自己有客户源