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Your Investor Rights

10 rights that any investor should expect from financial service providers.

  1. Honest, competent, and ethical conduct that complies with applicable law.
  2. Independent and objective advice and assistance based on informed analysis, prudent judgment, and diligent effort.
  3. My financial interests taking precedence over those of the professional and the organization.
  4. Fair treatment with respect to other clients.
  5. Disclosure of any existing or potential conflicts of interest in providing products or services to me.
  6. An understanding of my circumstances, so that any advice provided is suitable and based on my financial objectives and constraints.
  7. Clear, accurate, complete, and timely communications that use plain language and are presented in a format that conveys the information effectively.
  8. An explanation of all fees and costs charged to me, and information showing these expenses to be fair and reasonable.
  9. Confidentiality of my information.
  10. Appropriate and complete records to support the work done on my behalf.

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