GISI Intermediate Practice Questions - GISI Securities Course Intermediate Level Exam

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Which of the following practices is considered a violation of the professional ethics regarding client confidentiality in the Ghanaian securities market?

Disclosing client portfolio holdings to the Securities and Exchange Commission (SEC) Ghana during an official investigation. Discussing client investment strategies with a colleague from a competing firm without client consent. Sharing client financial details with a co-trustee of the client's discretionary trust. Providing transaction records to a court of law under a valid judicial subpoena.

Correct Answer:

Discussing client investment strategies with a colleague from a competing firm without client consent.

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