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0. Franz Beckenbaur, CFA, is a trader for Lee Inc., an investment and brokerage firm. He receives compensation for referrals from the firm‟s portfolio and financial planning division. He usually refers clients from his previous employer and does not have a non-compete arrangement with them. Beckenbaur uses his own personal material to contact them and informs them duly of the referral arrangement. Has Beckenbaur violated any Standard?
No, because he discloses to his former clients the referral arrangement.
Yes, because he has a duty of loyalty to his clients.
Yes, because of a breach of loyalty to his former employer
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