Your Investor Rights

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

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

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