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首页CFA考试CFA一级专业问答正文
Whataspectisloyaltyembodied?
帮考网校2020-05-18 11:06
精选回答

What aspect is loyalty embodied?

Core rule of loyalty:  Whether injure the firm, deprive the firm of its profit, or compromise the advantage of employee’s skill and capability.

Should abstain from independent competitive activity that could conflict with the interests of their employer.

Although Duty to employers (Loyalty) does not preclude from entering into an independent business while still employed, those who planning to engage in such practice for compensation must notify their employer and describe: (从事独立业务需要向雇主披露并获得雇主同意

Should not render services until they receive consent from their employer to all of the terms of the arrangement.

Leaving employer, Before leave, following will cause a violation:

Misappropriation of trade secrets(盗窃交易秘密)

Misappropriation of client lists. Memorizing client lists (name and address) is not permitted, unless the info does not come from the records of former employer or violate non-compete agreement.

Misuse of confidential information.

Soliciting employer’s clients prior to cessation of employment. (在离职前就挖雇主的现有客户→违规)

Self-dealing (appropriating for one’s own property a business opportunity or information belonging to one’s employer)

Take properties without written permission, even rejected idea list. (即使是当时没有被采纳的点子也不能带走)

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