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You receive a phone call from an individual you have NOT spoken with previously. The caller is excited, just having heard that a new mutual fund is positioned to deliver large gains in the coming year. The caller wishes to purchase shares of the fund through you. According to the Code of Ethics, which of the following would be acceptable actions for a CFP professional? a. Gather sufficient information about the client to establish a brokerage account and execute the transaction after the client signs a letter acknowledging the limited nature of the engagement. b. Gather sufficient information about the client to establish a brokerage account and execute the transaction after discussing your compensation, any potential conflicts of interest, contact information and any other material information about you and your firm. c. Gather sufficient information about the client to establish a brokerage account and execute the transaction only after providing written information about your compensation, potential conflicts of interest, contact information and any other material information about you and your firm. d. Inform the potential client that although you are willing to execute the transaction, you are certain you could improve their risk portfolio and overall financial plan if they would engage you to undertake a comprehensive financial planning review

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