Schweser Ethics Question - possible error?
The Code and Standards prohibit a Member of [sic] Candidate who has left one employer and joined another from:
a- Soliciting the old employer’s clients
b- Misappropriating client lists
c- Transferring files from the old employer to the new employer
I chose B since that seems like the most logical answer – it is never OK to steal a client list from an old employer. Yet for some reason Schweser’s system marked it as incorrect and said A is the correct answer. A makes no sense in the context of this question; you ARE allowed to solicit clients from former employers after leaving them (provided you didn’t steal their info, obtained it using public data, etc..)
Here is their explanation- “Standard IV(A). Solicitation of an old employer’s clients is only prohibited prior to ceasing employment with the old firm. Misappropriation of clients or client lists is never permitted. It is permissible to take records or files from the old employer if written permission is received. ”
It seems like the answer explanation is referring to some other form of the question. THe question is asking what is prohibited of a member/candidate and the most logical answer would be B, misappropriating client lists.
Any input? For reference, this question came from Volume 2, Exam 2 PM, question 129. |
发表于 2013-3-30 20:41
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