Statement of Investor Rights
Without asking, our clients have a right to . . .
Honest, competent, and ethical conduct.
Independent and objective advice
Their financial interests taking precedence
Disclosure of any existing or potential conflicts of interest
Advice suitable for their circumstances
Clear, accurate, complete, and timely communications
An explanation of all fees and costs that demonstrates that they are fair and reasonable
Confidentiality of their information
Appropriate and complete records
Questions and Answers
What does the CFA Institute Statement of Investor Rights mean to me? (hover over questions to see answers).
I have a right to: How to ask and have answered
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.