Our industry is being besieged by matters of compliance. This is especially true in the areas of life insurance and securities. Some may privately express the view that compliance is an impediment to doing business and doing it successfully. But isnt the question really: should shortoterm gains take priority over Long Term client relationships? At first sight, it seems that career agents for the major companies are most affected by strict compliance regulations. While, independent insurance agents and those not closely associated with a major insurer are untouched by compliance requirements. Compliance enforcement and oversight may be more difficult, as those who supervise agents activities may be further removed in time and place from the sales process. The intention of this course is to refocus you on compliant and ethical professional behavior. If you always concentrate on a clients needs and place them above your own, compliance should not be an obstacle in your practice. Putting the client first seems a simple concept, but sometimes it is difficult to implement. Topics covered include: Compliance, Ethics and Professionalism , Our Working Legal Framework, Communication and the Sales Process, Common Compliance Problems, Ethics and Compliance in Practice.
Upon completion of the course, the student will be able to:
- Understand the importance of compliance, ethics and professionalism.
- Understand the relationship of Compliance vs. Ethics.
- Know and understand the Legal Framework provided by federal, state and common law.
- Understand communication and its importance to the Sales Process.
- Identify and understand common compliance problems.
- Put Ethics and Compliance into Practice.
Legal and Moral Issues in the Insurance Industry - New Jersey Department of Banking and Insurance
- New Jersey Department of Banking and Insurance
- Website URL:
- Email Address:
- 20 W. State Street P.O. Box 325
End of Course Instructions
Congratulations! You have successfully completed your continuing education course. 360training or a 3rd party affiliate of 360training will report your credit hours to the Department of Insurance within 15 days. You may also now print your completion certificate online. Keep in mind that certificates of completion must be kept on file for 5 years.
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