Course publication/revision date: This course was updated on 8/14/2025.

“Ethics for the Financial Services Practitioner” is a focused self-study course that explores the essential principles and professional responsibilities guiding ethical behavior in the financial services industry. It examines the foundations of ethical decision-making, the role of integrity and objectivity, and the regulatory frameworks that govern financial professionals. Through practical examples and analysis of real-world scenarios, participants will learn to identify and address potential conflicts of interest, maintain client trust, and uphold the highest standards of honesty, fairness, and professionalism. This course equips practitioners with the knowledge and tools to navigate complex ethical situations confidently while safeguarding the interests of their clients and maintaining compliance with industry standards.

Course publication/revision date: This course was updated on 8/14/2025.

“Ethical Considerations in Selling to Seniors” is a comprehensive self-study course designed to help financial professionals navigate the unique ethical challenges of working with older clients. It covers the foundations of professional ethics, the evolving role of sales as a client-focused counseling process, and the importance of honesty, fairness, and competence in all communications, recommendations, and sales methods. Participants will learn how to identify and avoid misleading practices, adapt sales tools and approaches to meet seniors’ needs, address special concerns such as impaired clients or product replacements, and implement a system for ethical decision-making. By completing this course, professionals will be better equipped to build trust, ensure client benefit, and achieve long-term business success through consistently ethical practices.