How does NEB promote ethics in the financial services industry?
NEB publishes a monthly member e-newsletter (see Exhibit #6) that includes compliance guidance (Red Flag Reminders) and ethics motivational content (Eye on Ethics). NEB also publishes ongoing ethics columns in a variety of leading industry trade publications. (see Exhibits #7 A-I). In addition, NEB offers state-approved ethics and compliance continuing education courses for all licensed insurance agents, securities brokers, and for those holding the Certified Financial Planner (CFP), Chartered Life Underwriter (CLU), and Chartered Financial Consultant (ChFC) designations.
NEB publishes a monthly member e-newsletter (see Exhibit #6) that includes compliance guidance (Red Flag Reminder) and ethics motivational content (Eye on Ethics). NEB also publishes ongoing ethics columns in a variety of leading industry trade publications. (see Exhibits #7 A-I). In addition, NEB offers state-approved ethics and compliance continuing education courses for all licensed insurance agents, securities brokers, and for those holding the Certified Financial Planner (CFP), Chartered Life Underwriter (CLU), and Chartered Financial Consultant (ChFC) designations.
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