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2023-08-08 11:31老師，您好，以下內(nèi)容為啥沒有離職不算solicite，謝謝/原文：Q. Townsend was recently appointed to the board of directors of a youth golf program that is the local chapter of a national not-for-profit organization. The program is beginning a new fund-raising campaign to expand the number of annual scholarships it provides. Townsend believes many of her clients make annual donations to charity. The next week in her regular newsletter to all clients, she includes a small section discussing the fund-raising campaign and her position on the organization’s board. Townsend did not violate the Code and Standards. Townsend violated the Code and Standards by soliciting donations from her clients through the newsletter. Townsend violated the Code and Standards by not getting approval of the organization before soliciting her clients.
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個(gè)回答
Johnny助教
2023-08-09 10:20
該回答已被題主采納
同學(xué)你好，Townsend是高爾夫項(xiàng)目的董事會(huì)成員，是國(guó)家非盈利機(jī)構(gòu)的一員。該項(xiàng)目正開啟新的融資活動(dòng)來增加獎(jiǎng)學(xué)金資助。Townsend相信很多客戶都在為慈善做捐款。在下一周的日常通信中，她向客戶討論了這個(gè)融資活動(dòng)以及她在機(jī)構(gòu)中的董事席位。也就是說他在為慈善做集資，然后他認(rèn)為客戶會(huì)有興趣，就向客戶介紹了這個(gè)項(xiàng)目，這沒有任何問題，也不存在任何拉攏客戶的問題，要不要捐款是客戶們自己的決定。這里不牽涉到任何對(duì)雇主忠誠(chéng)的問題，也沒有拉攏前雇主客戶的情況
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追問
如果不是慈善或者T這個(gè)同志額外獲益了，算不算拉攏前雇主客戶
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追答
同學(xué)你好，也不算，因?yàn)槔瓟n前客戶是離職或者離職時(shí)把前雇主客戶帶去新公司，但他這邊沒有離職，也就不存在前雇主客戶這一說法了
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追問
沒有離職，不是慈善，向現(xiàn)有雇主的客戶推銷另外一個(gè)公司的募資活動(dòng)，這個(gè)也算違規(guī)了吧
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追答
同學(xué)你好，這個(gè)分情況，如果你把客戶推銷給另一個(gè)公司的募資活動(dòng)并且對(duì)方公司會(huì)給與你好處，那么就屬于referral fee以及additional compensation，如果沒有獲取雇主的書面同意就不能夠收取這個(gè)好處。要是你推薦客戶給其他公司并且完全不獲取任何好處，只要對(duì)方公司的募資活動(dòng)不會(huì)和雇主利益產(chǎn)生沖突就行，如果會(huì)產(chǎn)生利益沖突，那么就違反loyalt to employer
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