15. ETHICS AND THE FINANCIAL SERVICES PROFESSIONAL

This Course Provides:

5 Hours Life & 5 Hours A&S License 
5 Hours - General
License - RIBO Management

Also valid if you reside in QC

Recognition number: CSF15-03-33686 
Number of PDUs: 5
 
Number of PDUs and topics:
5 in Compliance


This course covers:

  • Introduction to and why Ethics are an important part of conduction financial services business.

  • Who the Canadian Council of Insurance Regulators (CCIR) are and how they maintain transparency
    between the insurer, agents and the public.

  • History, and definition of Ethics.

  • Ethics, morality and values.

  • Ethical Behaviour as a Professional.

  • Why Business and Ethics need each other.

  • Ethical Marketing.

  • Ethics and the financial services industry.

  • Why ethics and the financial services need each other.

  • Questions the advisor can ask the insurance company before selling their products.

  • Typical ethical scenarios used by the financial services profession.

  • Ethical selling.

  • What happens when the advisor sells an inappropriate policy.

  • Ethically looking at policies and their fit for each situation.

  • Why you should not allow misconceptions in your financial practice.

  • Why continuing education in the financial services industry is important.

  • Steps that an agent can follow to minimize possible ethics misunderstandings.

  • Policy replacement, disclosures etc.

  • Defamation, Twisting, Rebating.

  • When an agent allows misconceptions.

  • The steps required to ensure that there are no ethics violations between the advisor and the customer.

  • The Code of Ethics and how to follow it.

  • What sections of the Financial Services profession Code of Ethics that are violated most often.

  • The various types of financial professionals and what they do.

  • Corporate guidelines for business conduct.

  • The 10 principles of business ethics.

  • Characteristics of a profession and how the financial services profession fits the profile.

  • The five main qualities that help form the foundation for professional ethics in the financial services industry.

  • The advisor making the ethical decision in spite of earning a living.

  • Ethics in leadership.

  • The 10 myths of business ethics.

  • CLHIA Consumer Code of Ethics.

  • The CLHIA Guidelines for Sales Illustrations

 
 
 




203-4438 Ontario Street

 Beamsville, ON  L0R 1B5

Toll Free Phone 877 524-7121 Toll Free Fax - 866 277-4511

  

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