Statement of Investors Right: Honest, Competent, and Ethical Conduct

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Friday, May 30, 2014 3:11 PM / CFA


The CFA Institute known to ensure integrity and high ethical standards developed the “Statement of Investors Right” in order to advise buyers of financial service products of the conduct they are entitled to expect from financial service providers. These rights reflect the fundamental ethical principles that are critical to achieving confidence and trust in any professional relationship.

An investor should know that when engaging the services of financial professionals and organizations, he or she has the right to…

 

Honest, competent, and ethical conduct that complies with applicable laws

Globally, financial laws and regulations differ, but all investors have the right to honesty from financial professionals. Honesty does not just mean a truthful answer to questions; it also means transparency and forthrightness on the part of the financial professional.

 

Ideally, the financial professional should give you all the information that affects the financial decisions you make as well as the information that pertains to the financial decisions made on your behalf.

 

Knowing your right is essential and the CFA Institute ensures that these rights are not infringed on.

 

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