What focus within the Standard of Conduct addresses unsolicited client orders?

The correct answer is A. Duty of care. The Investment Funds in Canada curriculum explains that the duty of care obligates dealing representatives to act competently, fairly, and in the client’s best interest. This duty applies even when a client initiates an unsolicited order.

While unsolicited orders are initiated by the client rather than recommended by the representative, the CIFC text emphasizes that the representative must still assess suitability, ensure the client understands the risks, and confirm that the transaction does not conflict with the client’s investment objectives, time horizon, or risk tolerance. Simply executing an order without consideration would breach the duty of care.

Confidentiality relates to protection of personal information, compliance refers broadly to adherence to laws and firm policies, and integrity concerns honesty and ethical behaviour. None of these specifically govern how unsolicited orders are handled.

Because the duty of care governs how representatives must respond to all client instructions—including unsolicited trades—Option A is the correct and fully CIFC-verified answer.