【每日一练】CFA 一级（2015年）

Question：

Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a nonsolicitation agreement he signed several years ago. Loots received permission to take his investment performance history with him and also took a copy of the firm's software-trading platform. Subsequently, Loots sent out messages on social media sites announcing he was looking for clients for his new investment management firm. Access to Loots's social media sites is restricted to friends, family, and former clients. Loots least likely violated the CFA Institute Standards of Professional Conduct concerning his: 
A. non-solicitation agreement. 
B. investment performance history. 
C. trading software. 

Answer = B 
The portfolio manager received permission to use his investment performance history from his prior employer. The member violated his non-solicitation agreement by indicating his availability to new clients on several social media sites accessible by clients of his former employer. This action is a violation of Standard IV(A)–Loyalty because he did not act for the benefit of his former employer. In this case, the member may cause harm to his former employer if his messages result in clients moving to his new business from his former employer. The member also violated Standard IV(A) by taking his employer's property, the trading software.

CFA Level I
"Guidance for Standards I–VII"
Standard IV(A)–Loyalty

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