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What they should pay attention to,when employees leaving employer?

帮考网校 2020-05-18 11:23:21

What they should pay attention to,when employees leaving employer?

Leaving employer,

Once notice is provided to the employer of the intent to resign, must follow the policies and procedures to notify clients of planned departure.  Must not take records or files to a new employer without the written permission of the previous employer. (不能带走雇主的一片纸

Simple knowledge of names and existence of clients is generally not confidential information unless deemed such by an agreement or by law. But cannot use detailed info (e.g. address, phone number) to solicit clients.

Firm records or work performed on behalf of the firm that is stored in paper copy or electronically while employed should be erased or returned to the employer unless the firm gives permission to keep those records after employment ends. (在原雇主的文档应当销毁或者返还

Personal interests, and interests , of employer, are secondary to protecting the integrity of capital markets and the interests of clients.

When an employer is engaged in illegal or unethical activities, actions taken by the employee that would normally violate loyalty to employer (e.g. violating certain policies, contradicting employer instructions, or preserving a record by copying employer records) may be justified. Such action would be permitted only if the intent is clearly aimed at protecting clients or the integrity of the market, not for personal gain.

CFA Institute Professional Conduct Program (PCP). When permissible under applicable law, shall consider the PCP an extension of themselves when requested to provide information about a client in support of a PCP investigation into their own conduct.

Encouraged to cooperate with investigations into the conduct of others.

Any information turned over to the PCP is kept in the strictest confidence.

Will not be considered in violation of this standard by forwarding confidential information to the PCP.


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