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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