C is correct because the portfolio manager violated Standard IV(A)–Loyalty by taking proprietary trading software from her former employer. Although the manager created the software, it was during a period of time when West Star employed her, so the software is not her property to take with her to her new employer. The member contacted clients using public information, so she did not violate Standard IV(A)–Loyalty. Because Viggen was not obligated to abide by a non-compete agreement that would likely restrict recruitment of former colleagues, Viggen is most likely free to recruit the analyst from his former employer. 

A is incorrect because the member did not contact clients using information from her previous employer so she did not violate Standard IV(A)–Loyalty by these actions. Contacting former clients for any reason through the use of client lists or other information taken from a prior employer without permission would be a violation of the standard because client records are the property of the firm.  

B is incorrect because West Star does not have any non-compete agreements so the analyst is free to seek employment elsewhere.

A is correct because while Standard VI(B)–Priority of Transactions is designed to prevent any potential conflict of interest or the appearance of a conflict of interest with respect to personal transactions, it does not ban employees from trading securities. A ban on all equity related securities could be excessively restrictive to employees and unnecessary if appropriate personal transaction policies and procedures are in place. 

B is incorrect because requiring staff members to receive prior permission for personal trading (preclearance procedures) is a recommended practice [Standard VI(B)–Priority of Transactions]. 

C is incorrect because a restricted trading period is a recommended practice [Standard VI(B)–Priority of Transactions].