How do you handle a client who goes against a company policy?

"The customer might not understand what they're asking or why the policy is in effect, lacking the big-picture. So I'd do what I could to educate them, break down the full scope of the situation, dig deeper to determine their needs, and try to find an amicable solution that would fulfill their request by some other means."

"I'd try to persuade them to respect company policy, explaining the full impact of their request and how it could affect things in a broader sense. I'd break down the policy, explaining why it is in place. Then I'd mirror their point of view, validate their concerns and needs, and find a similar solution that might provide something close to what the customer hopes to gain. If I could do that, I'd satisfy their needs with no conflicts of interest, and everyone wins."

Under their code of conduct, they state, "Any activity, investment, or relationship that raises a potential conflict of interest should be avoided. If you become aware of an actual or potential conflict, discuss the matter promptly with your supervisor, compliance, legal, or other appropriate group within the firm. Our commitment to doing the right thing and treating clients fairly means we do not seek competitive advantages through unethical or illegal practices or take advantage of anyone through manipulation, concealment, abuse of information, or misrepresentation."