Statement of Investors Right: Independent and Objective advice

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 Saturday, May 31, 2014/ CFA

Knowing your right as an investor remains paramount, as this can prevent you from falling victim of financial errors. The CFA Institute one hinged on ensuring professionalism amongst its candidates and members set out the “Statement of Investors Right” to ensure every investor knows their right.

In addition to having a right to Honest, competent, and ethical conduct that complies with applicable laws, when engaging the services of financial professionals and organizations, an investor also has the right to:

Independent and objective advice and assistance based on informed analysis, prudent judgment, and diligent effort

It is expected that financial professionals must base their decisions on:


  • Thorough discussions with you about your needs and circumstances
  • Thorough analysis of your needs and circumstances
  • Thorough analysis of the products and services that may be used to meet your needs
  • Carefully considered and supported judgments that match products and services with your needs and circumstances

Your need and preference as an investor must always be put into consideration when making investment decisions, as this are the essentials that determine your investment objective. 

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


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