Quality Service
Before you make an investment you have the right to:
- Receive competition, courteous service advice and to be treated fairly, ethically and respectfully.
- Ask for and receive information about the background of the person handling your investments.
- Receive complete information about the risks, obligations and costs associated with your relationship.
Full, Clear Reporting
You have the right to:
- Receive copies of all applications for investment for your signature.
- Be informed clearly about all the costs associated with your investments and costs related to individual transactions.
- Accurate, timely and easy to understand descriptions of the transactions statements and other communications from your investment advisor.
Responsible Investment Advice
You have the right to:
- Be provided with responsible investment recommendations based on personal objectives.
- Be able to rely on your financial advisors assistance in setting realistic expectations about the long-term performance and risk of your investment into present you with reasonable investment alternatives to meet those expectations disclosing the comparative risks, benefits and costs.
- Be informed of significant conflicts of interest identified in a financial relationship between the investor at the advisor.
Timely & Fair Resolution of Problems
You have the right to:
- A clearly defined process for raising and resolving problem.
- Be informed of alternatives if your investment advisor is unable to resolve a disagreement to your satisfaction.