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.

答案和详解如下：

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.

Correct answer is B)

Solicitation of the employer’s clients prior to termination of employment would constitute a violation of Loyalty to Employer, but solicitation of clients following termination would not.

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.

Correct answer is C)

She should provide information about the type of services, the compensation arrangement and the expected duration of the project.

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.

Correct answer is A)

The Member or Candidate is not required to disclose confidential information about his independent clients.

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.

Correct answer is B)

Standards IV(A) and IV(B) require members to obtain written consent from both their employer and the contracting party before undertaking independent practice in competition with their employer. Travelli needs to seek such consent from both entities because it does not appear that she can argue successfully that there is no competition between Worldwide and Seaside. They apparently are both research firms, industry specialization may not prevent competition, and Travelli should be devoting her time and energy to her employment, unless her employer consents to the contract work.

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.

Correct answer is B)

If Jacob gets written permission from his employer to solicit their clients (not likely, obviously) he would not be violating the Loyalty to Employer Standard.

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