Canadian Securities Course (CSC) Practice Exam · Question
What is a core principle governing client confidentiality for Canadian investment professionals?
Investment professionals have an ethical and legal obligation to keep client information confidential, only disclosing it under specific, authorized circumstanc
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Question: What is a core principle governing client confidentiality for Canadian investment professionals?
Answer options:
- Client information can be shared freely within the firm.
- Client information can be used for personal gain by the advisor. ✅ Client information must be kept confidential and only disclosed with explicit consent or legal requirement.
- Client information is public domain if the client has an online presence.
Correct answer: Client information must be kept confidential and only disclosed with explicit consent or legal requirement.
Explanation: Investment professionals have an ethical and legal obligation to keep client information confidential, only disclosing it under specific, authorized circumstances or legal compulsion.
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