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Self Study - Legal & Moral Issues in the Insurance Industry New

Course Description

Course Approval Number :
48117SG050

Course Description

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 isn’t the question really: should short – term 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 client’s 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.

LEARNING OBJECTIVES:

  • 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.

    TOPICS COVERED:

  • LESSON 1: Introduction
  • LESSON 2: Our Working Legal Framework
  • LESSON 3: Communication and the Sales Process
  • LESSON 4: Common Compliance Problems
  • LESSON 5: Conclusion
  • LESSON 6: Appendix.

    REGULATORY REQUIREMENT:
    Please see the state/regulatory requirement from the course catalog page.

    SEAT TIME:
    This course has been approved for 5 hours.

    COURSE PRE – REQUISITE:
    N/A.

    TESTING:
    Final Exam – You will be required to pass the final exam with a 70% in order to receive course credit.

    COURSE COMPLETION:
    Upon successful completion of this course you will be able to print your certificate online.

    ABOUT THE SUBJECT MATTER EXPERT:
    Published by:

    Pohs Institute – Westbury, New Yor.

    Pohs Institute, one of the oldest insurance schools in New York State, was founded in 1921 by Herbert Pohs. Pohs Institute is one of the largest providers of insurance education in New York State, as well as an approved provider in New Jersey, Pennsylvania, Connecticut, Massachusetts, New Hampshire, Maine and Rhode Island. More than 250,000 men and women, eager to pursue a career in the insurance industry, have enrolled in Pohs Institute schools. Pohs Institute provides insurance instruction to large insurance companies and brokerages, as well as banks and financial institutions. The instructors are professional adjunct teachers from the insurance industry with an average of 10 or more years of industry experience.

  • State Requirements

    Check Texas’ state requirements prior to enrolling (http://www.tdi.texas.gov/). Provider Name: 360training, inc. – Provider Number: 32933.

    PRICE:

    $25

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