Q6. All of the following activities might constitute a violation of Standard IV(A), Loyalty to Employer, EXCEPT: A) misuse of confidential information. B) solicitation of the employer's clients following termination of employment. C) solicitation of the employer's clients prior to termination of employment.
Q7. When providing outside services, a member should provide all of the following information to her current employer EXCEPT:
A) the compensation she will receive. B) the types of services to be provided. C) a promise to remit an agreed-upon percentage of the proceeds to the current employer.
Q8. Analysts who undertake an independent consulting practice while employed must get permission from their employer and should disclose all of the following EXCEPT: A) the clients contact information. B) the anticipated duration of the service to be rendered. C) the compensation or benefit to be received.
Q9. Isabella Travelli, CFA, is a research analyst for Worldwide Investments in Rome, Italy. Travelli was contacted by Seaside Partners of Milan, Italy, a regional brokerage firm, about doing research on companies in the beverage industry on a contract basis. Travelli may only do the contract work: A) if Worldwide does not follow the beverage industry. B) after receiving consent from both Worldwide and Seaside. C) if Worldwide has no clients in the same geographic area as Seaside.
Q10. Jacob Allen, CFA, decides he could make more money if he started his own company. Which of the following steps would NOT violate Standard IV(A), Loyalty to Employer? A) Taking home the employer's buy lists. B) Getting written permission from his employer to call the clients and solicit their business for his new firm. C) Taking home his current employer's client lists, investment statements and marketing presentations.
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发表于 2009-1-4 15:47
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