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Ethics in Employee Benefits

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Ethics in Employee Benefits
Presented by John Griffin, JD, LLM, Principal, ASC Institute

Original Presentation Date: Wednesday, June 6, 2012
Continuing Education Credits: 2 NIPA CPE

What does it mean for a retirement plan professional to act ethically? TPAs and advisors need to seriously consider this question in light of the roles they fill. Being ethical is not the result of reading about ethics or even attending an ethics seminar. Ethics involves making the right decisions every day, in every context, based on an ethical standard of conduct. While it seems obvious to avoid conduct that is dishonest, deceitful or fraudulent, sometimes we find ourselves in circumstances that are not so clear cut, and "doing the right thing” is difficult to determine. Find out:
  • How to maintain high professional standards in retirement plan matters
  • How to avoid conflicts of interest, and if they arise, how to resolve them
  • Who is the client
  • What the NIPA Code of Ethics contains versus Circular 230
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