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Question:
Tom Hayes, CFA, changed firms recently, becoming the senior analyst at Balcom Management. He had earned a great reputation at his old firm with his analysis of Selldex, which doubled in value after his recommendation. Because he still likes Selldex, Hayes recreates from public sources the records and analysis he did at his previous employer and issues a report on Selldex with a “buy” rating. Hayes has:
A
not violated the Standards.
explanation
The actions are not in violation of the Standards. Under Standard IV(A) Loyalty, the use in new employment of knowledge and experience gained in previous employment is not prohibited. Hayes recreated the supporting records as required by Standard V(C) Record Retention.
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