What principle must a Dealer Representative uphold when dealing with unqualified clients?

Upholding transparency and honesty when dealing with unqualified clients is fundamental because it establishes trust and ensures that clients are fully informed about the products or services being offered. This principle promotes ethical behavior, as it requires the Dealer Representative to clearly communicate the risks and benefits of various investment opportunities. By providing clients with comprehensive and truthful information, representatives help clients make informed decisions that align with their financial situation and investment goals.

It is essential that representatives do not resort to pressure tactics or compromise their ethical standards for the sake of a sale, as this can harm clients and damage the reputation of the industry. Maintaining a commitment to clarity and integrity ultimately protects the interests of clients and fosters long-term relationships built on trust.