Sign up  |  Log in

Agent vs. Employee - ethics

Do all the standards for employees also apply for agents? Let’s say you’re on an agent agreement with the firm, and you develop a model to analyze what stocks to pitch to your clients, is that model property of the company? Also, is your client list the company property?

Master the Level II curriculum by creating custom quizzes in the SchweserPro™ QBank. Question difficulty automatically adapts to your ability level on a given topic, measuring your knowledge and keeping you motivated. Included in every Schweser Study Package.

Bump. 

Also, do agents also need written approval from their firm if they wish to engage in compensated work?

iceshift wrote:
Do all the standards for employees also apply for agents? Let’s say you’re on an agent agreement with the firm, and you develop a model to analyze what stocks to pitch to your clients, is that model property of the company?

If they pay you for it, it is.

That’s usually spelled out in your contract.

iceshift wrote:
Also, is your client list the company property?

Your client list is your property.  The company’s client list is their property.

Simplify the complicated side; don't complify the simplicated side.

Financial Exam Help 123: The place to get help for the CFA® exams
http://financialexamhelp123.com/