NAIFA Rhode Island

Ethics 2020: Protecting your Clients, Protecting Your Practice

  • Wednesday, October 28, 2020
  • 9:00 AM - 12:00 PM
  • Virtual


Registration is closed

ETHICS 2020: Protecting Your Clients; Protecting Your Practice


In this class you will identify how to:

  • Define “ethics” and “ethical behavior”, and describe their importance to an insurance professional’s mitigation of Conduct Risk, which is a regulatory focus area.

  • Identify an insurance professional’s ethical responsibilities, and to whom they are owed.
  • Understand state regulatory requirements for insurance professionals.
  • Understand the difference between “ethics” and “compliance”, and the impact of ethics on insurance professionals’ compliance with regulatory requirements.
  • Describe how ethical business practices impact profitability and professional image.

About the Instructor:

Ray Schnell, CFP, CLU, ChFC, CIA, CCSAis the owner of Fiduciary Compliance Advisory Services, LLC and he has over 30 years of experience in the global financial services industry. He is a Certified Financial Planner™ professional, a Certified Internal Auditor® and an industry arbitrator with FINRA Dispute Resolution. Ray has provided ethics and compliance leadership, training and guidance in 20+ countries on six continents in the areas of sales practice compliance, fraud investigations and internal audit.  He will share his unique perspectives on ethics and compliance risk management, and will elevate your awareness of things you need to know to protect yourself and your clients from financial harm.

Contact Us

National Association of Insurance and Financial Advisors of Rhode Island

2400 Post Road
Warwick, RI 02886

Phone: 401-739-2977


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