答案和详解如下： Q9Correct answer is B) Standard IV(A) requires consent to enter into independent practice. Standard IV(B) Additional Compensation Arrangements states that no compensation may be accepted which may create a conflict of interest without written consent from all parties. Anderson received consent from all parties, Ford did not receive consent from her independent clients. Q10. Correct answer is C) Standard IV(A) permits Hatcher to make preparations to begin a new practice, such as leasing office space, furniture, and other equipment, but not to engage in the other activities that may violate her duty to employer. Q11.Correct answer is A) O’Donnell is required to obtain consent from his employer if he is attempting to practice in competition with his employer. Merely undertaking preparations to leave, which do not violate a duty, is not a violation of the Code and Standards. Q12.Correct answer is C) The Standards of Practice under IV(A) expressly says that a departing employee is “generally free to make arrangements or preparations to go into a competitive business before terminating the relationship with the employee’s employer provided that such preparations do not breach the employee’s duty of loyalty.” Neither of these actions are in conflict with the interests of Advisors, and Hill performed them on his own time. | 
发表于 2009-10-27 08:31
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