Ethics and Regulations: Obligations and Boundaries
What you must know
Ethics and Regulations tests your grasp of the rules that govern conduct and the principles behind them. Candidates should know the relevant regulatory requirements, confidentiality and consent obligations, conflict-of-interest rules, and the professional standards that apply when rules are silent. Questions often present a dilemma where the lawful choice and the easy choice differ.
Traps to watch for
Common traps include options that are legal but ethically questionable, options that protect the practitioner's convenience at the expense of a client or the public, and options that disclose more information than necessary. Another trap is assuming that because an action is not explicitly prohibited, it is permitted; professional standards often require affirmative duties, not just avoidance of prohibited acts.
Rule of thumb
Apply the strictest applicable standard. If a regulation sets a floor and a professional code sets a higher bar, follow the higher bar. When confidentiality is at issue, disclose only what is necessary, to the fewest people, for the stated purpose.
Worked example
A request asks for information that could be shared lawfully but is not needed for the stated purpose. Sharing it is legal, yet the minimal-disclosure principle makes it improper. The correct answer limits disclosure to what the purpose requires.
Study approach
For each rule, ask what duty it creates and who it protects. Practice by identifying the affected parties in each scenario and checking whether the proposed action respects each one's interests.