The correct answer is D. Compliance conduct. The Investment Funds in Canada course distinguishes between ethical principles and standards of conduct, noting that compliance conduct governs how dealing representatives must act when processing trades, including unsolicited client orders.
Compliance conduct ensures that all regulatory requirements, internal policies, documentation standards, and supervisory rules are followed when executing a transaction. For unsolicited orders, this includes properly recording the order as client-initiated, ensuring suitability concerns are addressed, and maintaining appropriate documentation to demonstrate regulatory compliance.
While duty of care reflects a broader ethical obligation and integrity focuses on honesty, compliance conduct specifically addresses procedural and regulatory responsibilities, which are critical when handling unsolicited trades. Professionalism is a general behavioural expectation but does not specifically govern order handling.
The CIFC curriculum stresses that unsolicited orders must still meet regulatory standards, and representatives must follow compliance rules to protect both the client and the firm. Therefore, Option D is the correct and fully CIFC-aligned answer.
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