Canadian Securities Course (CSC) Practice Exam · Question
A financial advisor shares details about a client's investment portfolio with a third party without the client's consent. Which principle is being violated?
Client confidentiality requires that client information be kept private and not disclosed to unauthorized third parties without explicit consent.
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Question: A financial advisor shares details about a client's investment portfolio with a third party without the client's consent. Which principle is being violated?
Answer options: ✅ Client confidentiality
- Best interest duty
- Suitability
- Tied selling
Correct answer: Client confidentiality
Explanation: Client confidentiality requires that client information be kept private and not disclosed to unauthorized third parties without explicit consent.
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