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The Ethics and Discipline Committee

Overview
In accordance with the desire to maintain appropriate ethical standards and objective disciplinary practices for Certified 401(k) Professionals, students at The Retirement Advisor University at UCLA Anderson School of Management Executive Education, and other Retirement Plan Professionals, C(k)P® Standards & Certification Committee has established the Ethics & Discipline committee.

The Ethics and Discipline Committee shall consist of no less than three individuals, each serving a three year term, selected by the chairman of C(k)P® Standards & Certification Committee, or an agent of his/her choosing.

The Ethics and Discipline Committee members may revise and review and propose changes to the Ethics statements, core values, and disciplinary policies and procedures. All proposed changes will be reported to the C(k)P® Standards & Certification Committee which will make the decisions regarding implementation. The Ethics and Discipline Committee maintains the disciplinary proceedings and policies of The C(k)P® Standards & Certification Committee.


Ethics & Guiding Values

Purpose of This Document
To give an overview of the Ethics & Values of The C(k)P Standards & Certification Committee

Ethics & Guiding Values
The C(k)P® Standards & Certification Committee advocates high standards of ethics for Retirement Plan Professionals, current students of TRAU The Retirement Advisor University and all individuals granted the use of the C(K)P® marks. All individuals granted the use of the C(k)P® marks are required to adhere to and agree to the statement of ethics, guided by the core values of Integrity, Diligence, Professionalism, and Objectivity.

C(k)P® Standards & Certification Committee. and The Retirement Advisor University believe and promote the concept that a financial professional becomes successful by placing the needs of every client before the needs of themselves. The statement of ethics is intended to promote behavior that demonstrates proof of this concept. The statement of ethics, code of ethics, and values, are continually being reviewed by the Ethics and Discipline Committee in order to provide for more detail and a better understanding of the ethics involved with being a Retirement Plan Professional.

C(k)P® Statement of Ethics:
I will strive to maintain objectivity in all circumstances, enabling me to be steadfast, fair and make sound judgments. I will strive to act with diligence, and professionalism, which allows me to be fair and even handed in all my client interactions.

Guiding Values of The C(k)P® Standards & Certification Committee

Value 1: Integrity is…
The internal fortitude to do the “right thing” the first time, every time regardless of benefit or detriment personal financial gain.

Value 2: Diligence is…
Consciously choosing to anticipate, investigate, and evaluate the risks options and benefits prior to making decisions

Value 3: Professionalism is…
Providing consistent courteous, honest, and responsible behavior towards clients in order to provide the highest level of service.

Value 4: Objectivity is…
Ignoring the benefits to ones self during the decision making process in order to concentrate on the benefits to the clients.


Ethics Code Form

Purpose:  To provide affirmation and documentation of agreement to adhere to the Code of Ethics of The C(k)P® Standards & Certification Committee

The Certified 401(k) Professional Code of Ethics

I recognize that this code of ethics, and it’s principles and obligations, are in addition to those set forth by any other code, regulation or law that governs my professional and ethical conduct.

I will strive to:
  1. Do the “right thing” the first time, every time by acting with honesty and integrity, to protect the interest of my clients.
  2. Promote the values and teachings of The Retirement Advisor University to my clients and peers.
  3. Provide courteous, consistent, and professional service with complete honesty.
  4. Encourage my clients towards the decision that I feel benefits them most, regardless of my own personal benefit in the transaction.
  5. Provide my clients, and prospective clients, with information useful in evaluating risks, options, and benefits before making a decision.
  6. Use sales presentations and techniques that provide an accurate representation of all products and services offered and are compliant with state and federal regulations.
I understand and agree to the principles outlined in this code and pledge to adhere to appropriate business practices and high standards of ethical conduct in order to maintain my status as a Certified 401(k) Professional and/or student at The Retirement Advisor University.


Signature Date

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Printed Name