Answered step by step
Verified Expert Solution
Link Copied!

Question

00
1 Approved Answer

As an investment advisor, when can you disclose confidential client information? A When the client terminates his account and ceases to be a current client.

As an investment advisor, when can you disclose confidential client information?

A When the client terminates his account and ceases to be a current client.

B If you are reasonably certain that a law has been violated.

C When a prospective client has not signed up with your firm, and she can not be called a client.

D Never. Client information can never be disclosed to outsiders. It is against the CFA Institute Standards.

Step by Step Solution

There are 3 Steps involved in it

Step: 1

blur-text-image

Get Instant Access with AI-Powered Solutions

See step-by-step solutions with expert insights and AI powered tools for academic success

Step: 2

blur-text-image

Step: 3

blur-text-image

Ace Your Homework with AI

Get the answers you need in no time with our AI-driven, step-by-step assistance

Get Started

Recommended Textbook for

Income Tax Fundamentals 2013

Authors: Gerald E. Whittenburg, Martha Altus Buller, Steven L Gill

31st Edition

1111972516, 978-1285586618, 1285586611, 978-1285613109, 978-1111972516

Students also viewed these Finance questions