Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

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Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

Reading 3-IV: Standards of Professional Conduct & Guidance: Duties to EmployersQuestion #1 of 63Question 10:412472Nick O'Donnell. CFA. unsuspectingly

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers joins the research team al Wickett & Co., an investment banking firm controlled by organized crime None of the managers at Wickett are CFA Institute

members Because of his tenuous situation at Wickett, O'Donnell begins making preparations for independent practice. He knows he will be terminated if Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

he informs management at Wickett that he is preparing to leave. Consequently, he determines that "if he can just hang on for one year, he will likely

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

have a client base sufficient for him to strike out on his own." This action is:■J A) not a violation of his duly to employer.X B) a violation of his

Reading 3-IV: Standards of Professional Conduct & Guidance: Duties to EmployersQuestion #1 of 63Question 10:412472Nick O'Donnell. CFA. unsuspectingly

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers er 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 v

iolation of the Code and Standards.ReferencesQuestion From: Session 1 > Reading 3-IV > LOS (A)Related Material:• Key Concepts by LOSQuestion #2 of 63Q Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

uestion ID: 412476Pamela Gee is a portfolio manager She is planning to establish her own money management firm. She has already informed her employer.

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

Branford, Inc., about her plans. In her remaining time at Branford, she can:X A) solicit Branford colleagues but not Branford clients.■/ B) start the

Reading 3-IV: Standards of Professional Conduct & Guidance: Duties to EmployersQuestion #1 of 63Question 10:412472Nick O'Donnell. CFA. unsuspectingly

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers in the future.ExplanationThe only action that will not breach Standard IV(A) Loyalty to Employer, is to start the registration of her new company.Refe

rencesQuestion From: Session 1 > Reading 3-IV > LOS (A)Related Material:Key Concepts by LOSQuestion #3 of 63UUU3UUII IV. iz«iorWhich of the following Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

activities will least likely constitute a violation of Standard IV(A). Loyalty?X A) Conspiracy to bring about a mass resignation of other employees.X

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

B) Contacting your current clients and asking them to ’come with you* when you resign from your current employer.•/ C) Consulting on your own time and

Reading 3-IV: Standards of Professional Conduct & Guidance: Duties to EmployersQuestion #1 of 63Question 10:412472Nick O'Donnell. CFA. unsuspectingly

Reading 03 IV standards of professional conduct guidance duties to employers questions and answers onstitute a violation of StandardIV(A).ReferencesQuestion From: Session 1 > Reading 3-IV > LOS (A)Related Material:• Key Concepts by LOSQuestion #4 of

63Question ID: 454922 Reading 03 IV standards of professional conduct guidance duties to employers questions and answers

Reading 3-IV: Standards of Professional Conduct & Guidance: Duties to EmployersQuestion #1 of 63Question 10:412472Nick O'Donnell. CFA. unsuspectingly