Q5. Jefferson Piedmont, CFA, a portfolio manager for Park Investments, Plans to manage the portfolios of several family members in exchange for a percentage of each portfolio's profits. As his family members have requested that Piedmont provide the services outside his employment with Park, he notifies his employer in writing of his prospective outside employment. Two weeks later, Piedmont has received no response from his employer and begins managing the family members' portfolios. By managing these portfolios, did Piedmont violate any CFA Institute Standards of Professional Conduct? A. NO B. YES, because he failed to obtain written consent from his employer. C. YES, because he failed to disclose the outside employment to his existing clients. D.YES, because he violated the employee-employer principle lay not requiring his relatives to place their accounts with his employer.
答案和详解如下：
Q5. B 07Modular L1, Vo1.l, PP 70-71 . study Session 1-2.a Members who plan to engage in independent practice for compensation should not render services until receiving written consent firm their employer.
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发表于 2007-11-5 18:36
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