Inverstors 1st
CFA Society of Milwaukee & Madison, WI CFA Society of Milwaukee CFA Society of Madison
Chartered Financial Analysts

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The Statement of Investor Rights

  • On the second anniversary of Investors 1st Day, we proudly highlight the Statement of Investor Rights.  May 2014 is Investors 1st month around the globe. There are 143 CFA (Chartered Financial Analyst) Societies (membership groups) worldwide. This year, 40% of them are hosting Investors 1st activities. Many have received governmental proclamations supporting a day, week, or month-long recognition of the importance of investors support and protections to strong, growing economies.  

    John Rogers, CFA, President & CEO of the global CFA Institute, has said "CFA Institute is proud to support Investors 1st Day.  Investors are the backbone of economies worldwide; willing to match hard-earned capital to great ideas from entrepreneurs, small businesses, and well-established employers alike. Putting investors first, also known as the fiduciary duty, is a great way to restore trust and confidence in our financial system and capital markets, and to support social and economic progress globally."

    We recommend that investors present the Statement of Investor Rights to their financial professionals, whether establishing an investment plan, working with a broker, opening a bank account, buying a home, or any other important financial transaction.

    Investors 1st Day

    Investors 1st Statement of Rights
  • The Statement of Investor Rights was created by CFA Institute, the global association of investment professionals, as part of its Future of Finance project.  It is a list of principles intended to help buyers of financial service products demand the conduct they are entitled to expect from financial service providers.  The list applies to financial products and services such as investment management, research and advice, personal banking, even insurance and real estate, and is intended to help investors demand that financial professionals abide by these rights.

    Statement of Investor RightsWhen engaging the services of financial professionals and organizations, I have the right to…
    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. An 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.
  • The Statement of Investor Rights can be viewed and printed on a single page by clicking on the image to the left.

    You may find this useful for discussion with your financial services providers.

    The global CFA societies participating in Investors 1st are proud to provide additional information about our organizations, useful investor resources, and more on this website. Please take an opportunity to explore and learn.

    Thank you for visiting!

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Investors 1st - About Us

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