STATEMENT OF INVESTOR RIGHTS
When Engaging the services of Financial professionals and organization, I have the right to…
- 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;
- 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.
