Statement of Investor Rights


The Statement of Investor Rights is a list of principles intended to help buyers of financial service products demand the conduct they are entitled to expect from financial service providers.

Download and read the Ten Points
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WHEN ENGAGING THE SERVICES OF FINANCIAL PROFESSIONALS AND ORGANIZATIONS, I HAVE THE RIGHT TO...


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. 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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