If a broker knows that a client has not complied with the law or has made an error in, or omission from, any document, affidavit, or other paper which that law requires the client to execute, what must the broker do?
A. Continue to adhere to the contractual agreement between broker and his/her client.
B. Immediately discontinue his/her relationship with the client.
C. Contact CBP for guidance.
D. Advise the client promptly of the noncompliance.
E.. Prepare a prior disclosure.
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The Answer is: D
Citation: 19 CFR 111.39(b)
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