Enmgy E-00082-15-o Series6 Ethics - 1 Cpe Hour For A Score Of At Least 70%

10 Questions | Total Attempts: 31

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Enmgy E-00082-15-o Series6 Ethics - 1 Cpe Hour For A Score Of At Least 70%

NOV/DEC 2015 - SERIES 6 2015ETHICS & PROFESSIONALISMPlease indicate whether each of the following statements is TRUE or FALSE


Questions and Answers
  • 1. 
    Within a pension firm, different individuals may be subject to different professional codes of ethics, depending on the credentials earned.
    • A. 

      True

    • B. 

      False

  • 2. 
    Company Ethics today is often judged based on whether a company is acting in a socially responsible or philanthropic manner. 
    • A. 

      True

    • B. 

      False

  • 3. 
    Most pension firms do not have a separate Company Ethics policy or Ethics statement.
    • A. 

      True

    • B. 

      False

  • 4. 
    Common sense ethics might inform you not to engage in the following behavior in the workplace:  misrepresentations in time or hours worked; misrepresentations in client communications; or lying to supervisors or team members. 
    • A. 

      True

    • B. 

      False

  • 5. 
    Inappropriate Internet use can be a fireable offense at some companies, especially when an employee spends time on pornography at work. 
    • A. 

      True

    • B. 

      False

  • 6. 
    Inappropriate Internet use can include spending work-time on social media sites or blogging sites. 
    • A. 

      True

    • B. 

      False

  • 7. 
    Business ethics may be addressed in the written HR policies of a company. 
    • A. 

      True

    • B. 

      False

  • 8. 
    Harassment of others or mistreatment of any sort is likely a violation of an employer’s expectations with respect to ethical standards and may also be a violation of federal law as far as illegal harassment based on gender, race, color, religion, national origin, disability, or age. 
    • A. 

      True

    • B. 

      False

  • 9. 
    Service providers can reflect their professional standards and commitment to ethics in a written policy and/or in developing content for their web sites. 
    • A. 

      True

    • B. 

      False

  • 10. 
    One approach to developing website content about a company “subscribing to higher standards” is to write about:  Why Our TPA Firm? 
    • A. 

      True

    • B. 

      False

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