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Susan Nielsen, CFA, works for a rating agency which competes directly with S&P and Moody’s. Her friend, Lance Parker, works for the same company but in a different department which is involved in advisory services for structured products. Nielsen frequently receives pressure from Parker to "put a positive face" on client ratings to help him sell advisory services. She is reluctant to discuss client ratings with Parker and tries to avoid the topic. She consults her company’s compliance department and learns that there are no policies or procedures to discourage Nielsen and Parker from sharing information and is encouraged to consider his advice on company ratings. Nielsen should most likely: A. continue to consult with Parker on company ratings as the compliance department’s position is that there is no conflict. B. advise regulators of the potential conflict of interest and seek legal counsel. C. advise her firm to develop firewalls and protections to allow the different departments to function independently and avoid talking with Parker about client ratings. |