Taking on a New Affiliation while Working: Guidelines for CFA® Level 1 Exam Preparation

Guidelines for New Affiliations while Working for Present Employer

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When taking on a new affiliation while working for his present employer, a member should:

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A. B. C. D.

D

The procedures for compliance with Standard III (B) state that members should not render services until receiving written consent from their employer to all of the terms of the arrangement, after having provided written statements describing the types of services to be rendered to independent affiliations. A member should also disclose to prospective clients the identity of the member's employer and clarify that the member is performing independently of the employer. The member should not render services until the client gives consent in writing indicating that the client has read and understood the member's written disclosure statement.