最近有许多同学来信问我有关FRM或CFA问题，为方便答覆同学的问题，我特别开辟一个「 你问我答」专栏。只要你在阅读过程碰到任何问题，欢迎在我的信箱留下问题，我会尽速 答覆。 有位同学来信问我有关CFA Level 1职业道德问题，在此我公开分享这问题。 以下是这位同学的问题： 您好： 我是今年12月要考试的同学，常常在CFA板上看到老爹的文章，都让後辈有很多收获。现 在开始念到职业道德，发现到其英文的难度超乎自己的想像，想请问老爹一个职业道德的 范例，在study notes 第一本p.46. Example 3，我把题目打出来好了 希望您能够花一点 点时间 让小弟了解一下这个范例想考的观念是什麽~ Example 3： Several employees are planning to depart their current employer within a few weeks and have been careful to not engage in any activities that would conflict with their duty to their current employer. They have just learned that one of their employer's clients has undertaken a request for proposal ( RFP ) to review and possibly hire a new investment consultant. The RFP has been sent to the employer and all of its competitors. The group believes that the new entity to be formed would be qualified to respond to the RFP and eligible for the business. The RFP submission period is likely to conclude before the employees ' resignations are effective. is it permissible for the group of departing employees to respond to the RFP under their anticipated new firm ? Comment： A group of employees responding to an RFP that their emp1oyer is also responding to would lead to direct competition between the employees and the employer. Such conduct would violate Standard IV ( A ) unless the group of employees received permission from their employer as well as the entity sending out the RFP. 答覆： 谢谢你的来信，这部分主要在说明员工要对雇主忠诚。 职业行为准则有七个准则：一、专业；二，资本市场的诚信；三、对客户的责任；四、对 雇主的责任；五、投资分析、建议及投资；六、利益冲突；七、CFA协会会员及CFA考生的 责任。 你这问题是第四个准则－对雇主的责任。对雇主的责任，有三个规范：一、忠诚；二、额 外报酬的安排；三、监督责任。 这个案例的内文是这样： 「许多员工打算在数周内离开现有雇主，并且都很小心不要从事会与现有雇主责任冲突的 行为。雇主的一位客户正要求提案（request for proposal, RFP），以便审核，并打算 聘请一位新投资顾问。该提案除送给原雇主外，也送给所有竞争者。这些打算离职的员工 认为他们将成立的新事业也符合提案的资格，并且是合格的业务。提案呈报的期限刚好在 这些员工辞职生效之前，这些离职员工可否以预期新加入公司的名义参与此提案。」 评论： 这些离职员工及原雇主两者的提案，会导致雇主与员工的直接竞争，除非这些员工取得原 雇主同意，而且是以新公司的名义提案，否则违反IV（A）准则。 -- CFA证照考试心得分享:http://www.wretch.cc/blog/vactorlee --

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