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What aspect is loyalty embodied?
How to understand loyalty, prudence and care in duty to clients?
What they should pay attention to,when employees leaving employer?
In what ways does fair dealing manifest itself?
Where does performance presentation get embodied?
What are the ethics and trust in the investment profession?
In analyzing investment, what should we do to making investment recommendations, and taking investment actions?
What should members and candidates do when communicating with client?
How to determine if an investment decision or investment proposal is suitable for clients?
What laws,rules, and regulations should be known by members and candidates?
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: (從事獨立業務需要向雇主披露並獲得雇主同意)
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(盜竊交易古老秘密)
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. (在離職前就挖雇主的現有客戶→違規)
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. (即使是當時沒有被采納的點子也不能帶走)