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Business Ethics in the Captive Insurance Industry

Registration Deadline: March 30, 2016 | Class: April 6, 2016 @ 2:30 pm - 3:45 pm


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5 CPE credits are available for the the successful completion of this course.

Corporate ethics is taking on increased prominence at U.S. companies. The Enron scandal — the largest corporate bankruptcy in U.S. history — and the failures of the accounting profession to provide fair warning of the company’s problems, as well as questionable accounting practices reported in a number of large companies has resulted in significant changes to corporate governance. With passage of the Sarbanes-Oxley Act of 2002 in response to these heightened concerns about ethical practices in leading American firms, how will it impact the captive insurance industry – and what should managers and staff in the industry need to know and practice to demonstrate high ethical standards?

This course focuses on legal and ethical issues related to business practices in the captive insurance industry. Through scenarios, case studies, and readings, participants will:

  • Examine a CEO’s perspective on the changing leadership environment today relating to ethical behavior;
  • Explore areas in the captive industry with potential ethical conflicts and examine both ethical and unethical responses to these dilemmas;
  • Explore the need for a “code of conduct” in every company and how to develop, implement and communicate its principles throughout an organization;
  • Examine best practices in establishing guidelines for dealing with questionable practices;
  • Explore tools than can be used to assess personal values for staff in companies;
  • Explore best practices in how leaders can put high ethical values into practice in their organizations;
  • Understand the impact of Sarbanes-Oxley on ethical practices in the captive industry;
  • Understand the role and duties of the CEO, the Board of Directors, the Audit Committee, outside service providers, the actuary, and the lawyer in this new environment.


Online Course – Group-Internet-Live

Instructors: Kevin Doherty and Jeff Simpson

In addition to self-paced reading and assignment work, students will be required to attend three webconference sessions and complete two weeks of follow up assignments.  No prerequisite required.

Spring 2016 Offering Course begins April 2016

Online Course – Group-Internet-Live

Instructors: Kevin Doherty and Jeff Simpson

Registration Deadline: March 30, 2016

Webconference one, Wednesday, April 6th, 2:30 – 3:45 p.m. Eastern Time
Webconference two, Wednesday, April 13th, 2:30 – 3:45 p.m. Eastern Time
Webconference three, Wednesday, April 20th, 2:30 – 3:45 p.m. Eastern Time


For further details please contact at ICCIE at 802-651-9050.

To see when this course will be taught again go to the course schedule page


International Center for Captive Insurance Education (ICCIE) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:www.learningmarket.org.

In accordance with the standards of the National Registry of CPE Sponsors, CPE credits have been granted based on a 50-minute hour.

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