Did a CFA member violate the Standards by soliciting former clients after changing jobs?

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In the context of the CFA Institute's Standards of Professional Conduct, a CFA member is allowed to contact former clients after changing jobs. This practice is generally accepted as long as the member does not violate any specific agreements or contractual obligations that may prohibit such actions.

When a CFA member transitions to a new firm, they may reach out to their previous clients to inform them of their new position and offer their continued services. This is seen as ethical behavior, provided it aligns with the professional standards and does not infringe upon the contractual commitments the member may have with their former employer.

It's important to note that while soliciting former clients is permissible, it must be done in a respectful and professional manner, without disparaging the previous firm or breaching any confidentiality agreements. This allows for the cultivation of professional relationships and can foster continuity in service for clients who wish to maintain their financial advisory relationships.

In contrast, the other options suggest various restrictions or requirements that do not accurately reflect the principles guiding the conduct of CFA members regarding solicitation of clients. Thus, the selected answer aligns appropriately with the ethical standards upheld by the CFA Institute.

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