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Mark Vernley, CFA, is the owner of an engineering consulting firm called Energetics, Inc., which consults on asset and project valuations in energy-related industries. The firm currently employs 10 professional engineers. Vernley wants to develop and implement adequate compliance procedures for his firm to avoid potential conflicts of interest. Which of the following statements is least likely to represent an appropriate compliance procedure dealing with conflicts of interest. Employees at Energetics are required to: A. deal fairly and objectively with all clients and prospects when providing consultation on asset and project valuations. B. certify annually that they have maintained familiarity with the compliance procedures and agree to abide by them. C. report, in writing, on a quarterly basis all securities transactions for their personal portfolios and those in which they have a beneficial interest. |