Investor Bill of Rights

Investor Bill of Rights




Ask for and Receive information from the company about the work history and background of the person handling your account, as well as information about the company itself.

Receive complete information about the risk, obligations and costs of any investment.

Receive recommendations consistent with your financial needs and investment objectives.

Receive a copy of all completed account forms and agreements, as well as accounts statements that are accurate and understandable.

Receive all the terms and conditions of transactions you undertake.

Access your funds in a timely manner and receive information about any restrictions or limitations on access.

Discuss account problems with the manager or compliance department of the company and receive prompt attention to and fair consideration of your concerns.


Contact the Eastern Caribbean Securities Regulatory Commission to:

  • verify the status of a securities salesperson and the company;
  • verify whether the product is permitted to be sold in the Eastern Caribbean Securities Market;
  • learn more about all of your rights as an investor.

Contact us here