This module is part of the 2027 curriculum. You are following the 2026 curriculum, where it is not taught in this form. Switch if you are sitting the exam under the 2027 curriculum.

Guidance for Standard III: Duties to ClientsLocked: included in All Access

Standard III, Duties to Clients: loyalty, prudence and care, fair dealing, suitability, fair performance presentation and keeping client information confidential.

0/2 lessons
~30 minStart
Flashcards 17 cardsOpen
  1. 1. Standard III(A)–(B): Loyalty, Prudence, Care and Fair DealingClients come first, ahead of the employer and yourself, and every client gets a fair (not identical) chance at your recommendations and trades.Locked: included in All Access15 min
  2. 2. Standard III(C)–(E): Suitability, Performance Presentation and ConfidentialityKnow the client before you advise, present performance fairly and completely, and keep what clients tell you to yourself.Locked: included in All Access15 min

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Guidance for Standard III: Duties to Clients · Academy