Late on a Friday afternoon, an investment advisor at the Toronto, Ontario branch of Reese, Gordon, and Company must decide whether to process an order made by a client's husband. This was the fifth time that the husband, who had no trading authority over the account, had made such a request since the account was opened nearly two months previously. The primary objective of this case series is to explore the issue of dealing with a regulator investigating a possible breach of ethics and/or contravention of rules. Students are given the ethical dilemma of making a third party transaction without speaking to the account holder. (A sequel to this case is available, titled Peter Farber (B), case 9A98N034.)
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