Confidentiality Breach in Financial Analyst Role

Breach of Client Confidentiality in Financial Analysis

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Question

The financial analyst is allowed to breach client confidentiality if the information concerns ________ activities that the client is engaged in.

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A. B. C. D. E.

E

Standard IV (B.5) states that "Members shall preserve the confidentiality of information communicated by clients, prospects, or employers concerning matters within the scope of the client -member relationship, unless the member receives information concerning illegal activities on the part of the client."