After an Approved Person (AP) reports a material conflict of interest to their Member firm, what restriction applies to the AP's activities concerning that conflict?

Question

Accepted Answer

Correct. Rule 2.1.4(2)(e) prohibits the AP from advising or trading in respect of the conflict unless it has been addressed in the best interest of the client and the Member has given consent.

After an Approved Person (AP) reports a material conflict of interest to their Member firm, what restriction applies to the AP's activities concerning that conflict?

Discussion