Standard IV — Duties to Employers

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Question

Why is disclosing an outside compensation arrangement to an employer verbally not enough under Standard IV(B)?

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Answer

Written consent from the employer is required.

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Question

Why does taking a client list or proprietary model when leaving a firm violate Standard IV(A)?

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Answer

They are employer property, not portable personal assets.

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Question

A member memorizes client contact information, resigns, then emails former clients to join a new firm. What Standard is most directly violated?

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Answer

Standard IV(A) — Loyalty to Employer.

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Question

What must a supervisor do first after learning of a potential subordinate violation?

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Answer

Promptly investigate.

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