It isn’t often that we think about the idea of ethics except, perhaps, to decry the actions of someone who has acted unethically and been exposed in the media. We are usually too busy pursuing our livelihood or simply living our life to give it much thought. Despite that, there is considerable benefit to the financial services practitioner in identifying and internalizing those ethical principles that should guide his or her actions.
In this course we will examine the foundation of ethics and consider the parties to whom the practitioner owes an ethical duty. In addition, we will look at certain ethical yardsticks against which our actions can be measured. Finally, we will discuss the practitioner’s sales methods and sales tools and provide a basis for their audit in ethical terms.
No advance preparation needed
Program Level – Basic
Program prerequisites – None
Delivery method – QAS self-study
Recommended CPE credits – 2
Recommended field of study – Insurance/Financial Planning/Ethics
Copyright 2024 by Winn Publications ALL RIGHTS RESERVED. NO PART OF THIS COURSE MAY BE REPRODUCED IN ANY FORM OR BY ANY MEANS WITHOUT THE WRITTEN PERMISSION OF THE COPYRIGHT HOLDER. All materials relating to this course are copyrighted by Winn Publications. Purchase of a course includes a license for one person to use the course materials. Absent specific written permission from the copyright holder, it is not permissible to distribute files containing course materials or printed versions of course materials to individuals who have not purchased the course. It is also not permissible to make the course materials available to others over a computer network, Intranet, Internet, or any other storage, transmittal, or retrieval system. This document is designed to provide general information and is not a substitute for professional advice in specific situations. It is not intended to be, and should not be construed as, legal or accounting advice which should be provided only by professional advisers. No advance preparation needed Program Level - Basic Program prerequisites - None Delivery method - QAS self-study Recommended CPE credits - 2 Recommended field of study - Insurance/Financial Planning/Ethics
