Other Financial Professionals

How You Can Help Put Investors First

First, support the Statement of Investor Rights. Tell your clients that you will adhere to these ten basic rights that any investor should expect from a financial service professional. Actually hand your clients a copy of the Statement when you meet with them and explain how your practice meets the standards. Educate your colleagues. Ask your firm to officially endorse the Statement of Investor Rights and to require that all employees adhere to these basic principles.

Spread the word. Whether it is through social media or in press articles, reiterate the message that all in the financial service industry must continually put investors first. Be an advocate for an ethical and transparent investment industry.

Become a CFA® charterholder. The CFA® Program will teach you ethics, standards, concepts and skills that will benefit your clients, your employer and your career.


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