Question: Under the Code of Ethics and Professional Responsibility, a CFP practitioner may not generally disclose confidential information obtained from a client. A CFP practitioner may,

Under the Code of Ethics and Professional Responsibility, a CFP practitioner may
not
generally disclose confidential information obtained from a client. A CFP
practitioner may, however, disclose such information in the following situations
EXCEPT:
The client files a complaint against the practitioner with the NASD or the CFP
Board
The client's bank requests information in connection with a mortgage application
The client consents to the disclosure
The client sues the practitioner
Under the Code of Ethics and Professional Responsibility, a CFP practitioner

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