3 Credit HoursEthics (Insurance/Financial)
Ethics for Financial Services Professionals
Comprehensive ethics training covering fiduciary duty, suitability standards, conflicts of interest, client privacy, AML compliance, and senior financial exploitation. Satisfies insurance ethics requirements, NASAA ethics credits, and CFP Board ethics hours.
Topics Covered
- Fiduciary duty vs. suitability standard
- Conflicts of interest in financial services
- Disclosure obligations across regulatory regimes
- Client privacy and confidentiality
- Anti-money laundering and suspicious activity
- Senior financial exploitation and vulnerable clients
- Social media, marketing, and testimonial rules
- Enforcement actions and lessons learned
Exam Requirements
Review Questions
9
Throughout the course material
Final Exam Questions
15
Multiple choice, 4 options each
Passing Score
70%
Minimum requirement
Time Limit
1 Year
Self-paced from enrollment
Certificate of Completion
Upon passing the final exam, you will receive a certificate including all required fields:
- Provider name
- Program name
- Program number (upon approval)
- Program dates
- Credit hours awarded
- Instructor signature
- Your name
- Unique certificate number