3. Bart Wiley, CFA, agreed in writing with his former employer not to solicit former clients for a period of one year after his termination. After he left his former employer, he consulted with a lawyer about whether the agreement was legally enforceable. The lawyer advised Wiley that it was doubtful that the agreement could be enforced, so Wiley sent an announcement of his affiliation with his new firm to former clients. According to the Standards of Practice Handbook, which of the following statements is most accurate with respect to Wiley's conduct?
Select exactly 1 answers from the following:
A. The Standards do not apply to Wiley's conduct.
B. The Standards require Wiley to comply with the agreement with his former employer. C. Because Wiley relied upon the opinion of legal counsel, he did not violate the Standards. D. Because the announcement of his affiliation with the new firm does not solicit client business, Wiley did not violate the Standards.
答案和详解如下！
Feedback: Correct answer: B
Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 84-85 2006 Level I Program Readings, 揋uidance?for Standards I-VII, Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 59 2006 Modular Level I, Vol. I, pp. 65 Study Session 1?朼 demonstrate a thorough knowledge of the Standards of Professional Conduct by recognizing and applying the standards to specific situations
A member抯 duty of loyalty to his employer prohibits him from violating any applicable non-compete agreement. | 
发表于 2006-11-21 11:24
| 
