An Investment Dealer identifies a material conflict of interest arising from an Approved Person's outside directorship. To comply with IDPC Rule 3112 regarding conflict disclosure, which three specific components must be included in the written disclosure to affected clients?

Question

Accepted Answer

Correct. IDPC Rule 3112 requires that disclosure of a material conflict of interest include the nature and extent of the conflict, the potential impact and risk to the client, and how the conflict has been addressed.

An Investment Dealer identifies a material conflict of interest arising from an Approved Person's outside directorship. To comply with IDPC Rule 3112 regarding conflict disclosure, which three specific components must be included in the written disclosure to affected clients?

Discussion