Professional Conduct: Sharing Proprietary Research

Hard Professional Standards Application Responsibilities To Employers

As a senior investment advisor at an asset management firm, Sarah leads a team responsible for providing investment strategies to institutional clients. One day, she is approached by a colleague who suggests that the team could benefit from sharing their proprietary research with other departments within the firm. While Sarah recognizes the potential benefits of collaboration, she also recalls the firm’s policy that restricts the sharing of sensitive research information to protect client confidentiality and competitive advantage. Determined to weigh the ethical implications, Sarah contemplates her obligations to her employer versus the benefits of inter-departmental collaboration.

Which of the following actions should Sarah take to uphold her responsibilities to her employer?

Sarah should share the proprietary research with the other departments, believing that collaboration will lead to better outcomes for all clients.

Sarah should refuse to share the proprietary research and remind her colleague about the firm’s policy to maintain confidentiality and compliance.

Sarah should ask her supervisor for permission to share the proprietary research, arguing that it would enhance the overall client service.

Hint

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