Which of the following categories under “Professionalism†in the Standards of
Practice admonishes members and candidates against professional dishonesty, fraud
or deceit and against committing any act that reflects adversely on their professional
reputation, integrity or competence?
Detailed Answer
D
2
Quan Yang has terminated her professional relationship with Ten Peller Investments
(TPI) and has started her own hedge fund . Ms. Yang clearly served as an
independent contractor for TPI (working from her home) and had no agreement with
the firm with regard to solicitation of TPI clients or retention of client information.
After leaving TPI, Ms. Yang called several TPI clients using the contact information
sent to her by TPI and saved on her home computer. According to the Standards and
Practice, which of the following statements best summarized Ms. Yang’s duties to
TPI?
