7.4.8 Investor rights and responsibilities

Investors have both rights and responsibilities when working with an investment advisor. They also have rights to receive certain information from the financial institutions and companies that offer them an investment. These rights vary depending on the investment. You can discuss these investor rights with your financial advisor.

Investor rights

When you work with an investment advisor, you have some essential rights:

If you feel that your rights have not been respected by your advisor, talk to him or her about it. There may be a simple misunderstanding that can be easily corrected.

For a more serious issue, you may also wish to file a formal complaint.

If you are not comfortable talking to your advisor, look for another advisor that you feel meets your needs.

Investor responsibilities

Investors also have responsibilities to their advisors.


To take notes of your contacts, use the "Check before you invest" form provided on the website of the Canadian Securities Administrators.

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