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With respect to a client's confidential information, if a member or candidate believes a client is engaging in illegal activity, the member should most appropriately:

A seek advice from his firm’s legal counsel or compliance department.

Guidance for Standard III(E) Preservation of Confidentiality states that members or candidates should seek the advice of compliance personnel or legal counsel about the appropriate actions to take if they suspect illegal activity by clients. Members and candidates must comply with applicable laws, which may require or prohibit disclosure of confidential client information in these circumstances.

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