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.
