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刘同学2019-10-12 23:06:12

Nick O'Donnell, CFA, unsuspectingly joins the research team at 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 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 have a client base sufficient for him to strike out on his own." This action is: A a violation of his fiduciary duties. B not a violation of his duty to employer. C a violation of his duty to disclose conflicts to his employer. 这道题需要老师帮我解析, C为什么不对?

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Bingo2019-10-14 15:09:21

同学你好。本题题干描述的是当事人内心的想法。He knows he will be terminated if 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 have a client base sufficient for him to strike out on his own." 当事人知道自己如果现在提出离职,就会被开掉。后来,当事人决定再坚持一年,这样有助于积累客户。解析意思是说当事人只是打算离职,还没有进行其他的举措,不足以判定他违规。

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