Pennsylvania + Wall


Pennsylvania + Wall provides commentary on a broad range of current financial, economic and regulatory reform topics. The views expressed are those of the authors, and do not necessarily reflect the position of SIFMA.

November 06, 2013

Our Partnership With You

By Senator Judd Gregg

PartnershipHelping individual investors achieve their financial goals by providing the highest quality advice, products and service is a commitment we all have in the financial services industry. In a 2013 study, nearly 3 in 4 retail investors in the capital markets said they are optimistic about opportunities. More than half of investors said their investment managers are more effective in building trust in capital markets than regulators. Our industry understands the role it plays in helping Americans succeed and Main Street prosper. We take our role very seriously.

SIFMA today announced the launch of a new initiative that enhances our partnership with individual investors and helps them achieve their financial goals. "Our Partnership with You" provides individual investors with helpful information on how to get the most out of their relationship with their investment professional and participation in the capital markets. This is just one part of a series of initiatives that SIFMA will be rolling out to demonstrate our commitment to putting customers first.

The relationship between investors and investment professionals is an important one, and both sides have responsibilities to one another.  The document encourages investors to take the following important steps:  inform and educate themselves, keep accounts current, and use the right resources.  This means, as an investor, you should read carefully all documents before making an investment decision, review the materials provided by your investment firm and ask questions as they arise.  Investors should consider their investment options and be sure to ask questions and fully understand the choices.

But it's not just a one-sided initiative.  Investment professionals need to know how often their clients want to hear from them, and in what format, and with what level of detail. Investors should provide accurate information about their financial status and goals, so their investment professional can best provide appropriate advice, especially if there is a significant change in objectives or personal circumstances. Both sides can review portfolio holdings and transaction statements on a regular basis, but especially when financial circumstances change.  Investors have the right to receive responsible investment advice, clear and meaningful disclosures, and quality service.

The financial services industry is committed to helping people succeed and increasing prosperity.  We put our customers first by protecting investor choice, supporting investor education, and working in partnership with our clients. 

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Judd Gregg



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