Business Conduct Practices - Version 4



COURSE NAME:Business Conduct PracticesCOURSE DESCRIPTION:Employee conduct is essential to the success of any business, but this is especially true for the financial industry. The aim of Business Conduct Practices is to enable a company to meet compliance and risk management responsibilities in an efficient and effective manner. This course provides a basic understanding of the concepts associated with business conduct and presents an ethical framework within which an employee may interact with various entities. Business conduct practices are defined at the outset, followed by explanations of the ethical issues associated with various business interfaces, and the appropriate behavior with which a professional should deal with external and internal customers, shareholders, business partners, and competitors. The nature of regulation is also touched upon within this course.LEARNING OBJECTIVES:• Understand the concept of proper business conduct.• Comprehend the necessity of integrating ethics and values in sound business dealings.• Recognize the different types of business entities that employees may interact with.• Understand business conduct practices when dealing with both internal and external customers.• Understand business conduct practices when dealing with business partners.• Understand business conduct practices when dealing with regulatory bodies.Be aware of the need for compliance toward laws and statutes and the positive effect that this will have on business.TOPICS COVERED:• Introduction• Lesson 1: An Introduction to Business Conduct• Lesson 2: Dealing with External Customers, Internal Customers and Shareholders• Lesson 3: Dealing with Business Partners• Lesson 4: Dealing with Competitors & the Nature of RegulationREGULATORY REQUIREMENT:Please see the state/regulatory requirement from the course catalog page.SEAT TIME:This course has been approved for 4 hours.COURSE PRE-REQUISITE:N/ATESTING:Final Exam: You must 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:Barbara CB Harrington, LUTCFBarbara CB Harrington is the former Director and founder of Harrington School, a pre-licensing school and current Director and founder of Harrington Center in Poughkeepsie, NY. Harrington Center offers Continuing Education Training to Insurance agents as well as Compliance services to Mutual Fund and Insurance Companies.Barbara has authored over 45 continuing education courses for the insurance and securities field and has been a consistent guest lecturer on both subjects.She is licensed in Life, Health, P&C and Securities and specialized for 15 years in the field of Pension and Estate Planning.Barbara is the proud mother of three adult children, grandmother of five grand children, and great grandmother of three great grandchildren. She lives in Hyde Park, NY, with her dog Holly.


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