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Path to investment success lined with hidden traps

机译：通往成功之路的隐秘陷阱

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Purpose – The purpose of this paper is to remind investment company compliance professionals of common traps for unwary investors, to emphasize the importance of detecting and preventing fraud in the marketplace that may affect individual investors, and to review basic investor rights and the importance of suitability for investment company clients. Design/methodology/approach – The paper explains the constant danger of investment fraud, lists the North American Securities Administrators Association's (NASAA's) top ten investor traps for 2007, reviews questions investment sales professionals should ask themselves concerning the suitability of every investment for a given client, and lists rights to which investors should be entitled before they make every investment. Findings – The paper finds that the path to safe investing is littered with pitfalls likely to catch unwary investors. Investment fraud is on the rise. Before offering any investment, sales professionals should ask themselves several key questions. Investors can avoid becoming trapped in a fraudulent or unsuitable investment by recognizing that they have certain rights and demanding that these rights be upheld before they invest. Practical implications – Compliance professionals should remember that the underlying purpose of most state and federal regulations governing investment companies is centered on investor protection and concerned with investment suitability and fraud prevention. Originality/value – The paper provides useful information with regard to the pitfalls likely to catch investors who want to make successful investments.
机译：目的–本文的目的是提醒投资公司合规专业人士注意粗心的投资者的常见陷阱，强调检测和防止可能影响个人投资者的市场欺诈的重要性，并回顾基本的投资者权利和适用性的重要性针对投资公司的客户。设计/方法/方法-该论文解释了投资欺诈的持续危险，列出了北美证券管理协会（NASAA）2007年的十大投资者陷阱，并回顾了投资销售专业人员应针对每项投资是否适合给定自身问题进行提问客户，并列出投资者进行每项投资前应获得的权利。调查结果–该论文发现，进行安全投资的道路上到处都是陷阱，可能会吸引那些粗心的投资者。投资欺诈正在上升。在提供任何投资之前，销售专业人员应该问自己几个关键问题。投资者可以通过认识到自己具有一定的权利并要求在投资前必须坚持这些权利，来避免陷入欺诈或不合适的投资中。实际含义–合规专业人士应记住，大多数管理投资公司的州和联邦法规的根本目的都集中在投资者保护上，并关注投资的适用性和预防欺诈。独创性/价值–本文提供了有用的信息，说明可能吸引想要进行成功投资的投资者的陷阱。

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