Canadian Securities Course (CSC) Practice Exam · Question
Under what circumstances is it permissible for an investment advisor to disclose confidential client information?
Client confidentiality is a cornerstone of the investment industry. Information can only be disclosed if legally compelled, for example, by a court order or spe
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Question: Under what circumstances is it permissible for an investment advisor to disclose confidential client information?
Answer options: ✅ When legally required by a court order or regulatory body.
- When a client requests general market insights.
- When sharing information with personal friends or family.
- When the client has a publicly traded company.
Correct answer: When legally required by a court order or regulatory body.
Explanation: Client confidentiality is a cornerstone of the investment industry. Information can only be disclosed if legally compelled, for example, by a court order or specific regulatory request.
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