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Ebooks / Guidance for Standards I - VII / Chapter 12 of 22

Standard III (E) - Preservation of Confidentiality

📊Investment ManagementApril 26, 2014 · 1 min read

The members must maintain the confidentiality of all their client’s information (past, current, or prospective), unless there is some illegal activity, a requirement from the law, or the client itself permits disclosure.

Example of Violation

An investment manager knows that his client is planning to donate a large sum of money. She passes this information to the head of her favourite donation group asking them to follow up on this with her client.

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  • Guidance for Standards I – VII

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