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10 An agent may disclose confidential information to the extent reasonably necessary to detect and resolve conflicts of interest arising from the agent’s change of employment or from changes in the composition or ownership of a firm, but only if the information disclosed does not compromise any privileged communication between the agent and their client or otherwise prejudice the client.
COMMENTARY
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In these situations (see subsection 7(1) of Part 3), this section permits agents and firms to disclose limited information. That type of disclosure would only be made once substantive discussions regarding the new relationship have taken place.
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(2) If the transferring agent actually possesses confidential information relevant to a matter respecting the former client that may prejudice the former client if disclosed to a member of the new firm, the new firm must cease representing its client in that same matter unless
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COMMENTARY
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Guidelines on How to Screen for Conflicts of Interest and Measures to be Taken
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These Guidelines apply, with the necessary modifications, to situations in which a non-agent staff member leaves one firm to work for another and a determination is made by the new firm, before hiring that individual, as to whether any conflicts of interest will be created and whether they actually possesses relevant confidential information.
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COMMENTARY
Agents and Support Staff
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Certain non-agent staff members in a firm routinely have full access to and work extensively on client files. As such, they may possess confidential information about the client. If these staff members move from one firm to another and the new firm acts for a client opposed in interest to the client on whose files the staff members worked, unless measures are taken to screen the staff members, it is reasonable to conclude that confidential information may be shared. It is the responsibility of the agent and the firm to ensure that staff members — who may have confidential information that, if disclosed, could prejudice the interests of the client of the former firm — have no involvement with and no access to information relating to the relevant client of the new firm.
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