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David, an Adviser, receives a letter from another Adviser saying that a client of David's will now be seeing her for advice. The new Adviser
David, an Adviser, receives a letter from another Adviser saying that a client of David's will now be seeing her for advice. The new Adviser asks if she can obtain a copy of the client's files. David does not respond to this letter. The new Adviser phoned and left several messages with David's receptionist, which David hasn't returned.
David is breaching the FASEA Code of Ethics because he is
O a failing to support a fellow professional or extending professional courtesy.
O b failing to demonstrate relevant knowledge and skills.
O c demonstrating a conflict in his interests or duties.
O d avoiding his recordkeeping obligations.
O e None of the above
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