Requests for access

Conditions

The Act provides that every person has a right of access, on request, to the documents held by the Chambre. However, some conditions must be met for the Chambre to provide access to a document:

• The document must already exist and be in the Chambre’s keeping.
• The request must be precise enough to allow the Chambre to locate the document required.
• The document must not be a sketch, outline, draft, preliminary note or another document of the same nature.

Moreover, some restrictions provided for by the Act may justify a refusal of access. For example, the Chambre might or will refuse to release or confirm the existence of an information if its disclosure:

• Would likely hamper a future or current investigation or an investigation that may be reopened
• Would likely reveal a method of investigation, a confidential source of information, or a program or plan of action designed to prevent, detect or repress crime or statutory offences
• Would likely cause prejudice to the person who is the source or subject of the information
• Is prohibited by a decision of the Chambre’s Discipline Committee on the grounds that it was obtained during a sitting in camera or that the Discipline Committee has issued an order not to disclose, publish or distribute the said information
• Would reveal the Discipline Committee’s deliberations

Moreover, the Chambre must refuse to disclose personal information that does not involve the applicant, unless the person to whom the information relates to consents to it and unless no further restrictions apply.

How to make a request

To file a request for access to a document or a personal information held by the Chambre, fill out the form below, clearly identifying the document requested. The use of this form is not compulsory in order to submit a request for access.

Send your duly completed form or request to the Chambre, attention Mtre. Marie Elaine Farley, Person in charge of Access to Documents and Protection of Personal Information, as follows:

By mail:	Chambre de la sécurité financière 300 Léo-Pariseau St., 26th floor Montréal, Québec H2X 4B8
By fax:	514 282-2225
By email:	responsableacces@chambresf.com

Fees

As stipulated by the Act, access to documents is free of charge. However, the Act also provides that the Chambre may charge a fee no greater than the cost of transcription, reproduction or transmission of the document. The fees are prescribed by the Regulation respecting fees for the transcription, reproduction or transmission of documents or personal information, R.S.Q. c. A-2.1, r.1.1. The Chambre will inform you of the approximate amount that applies to your request before proceeding with the transcription, reproduction or transmission of the documents, if applicable.

Processing

The Act states that the Chambre must reply to a request for access within 20 days from the date the request was received by the Person in charge of Access to Documents and Protection of Personal Information. In some cases, the Chambre may extend this time limit by not over 10 days.

Application for review

Section 135 of the Act stipulates that if someone’s written request has been denied, in whole or in part, by the Person in charge of Access to Documents and Protection of Personal Information, or if the time limit for replying to that request has expired, that person may apply to the Commission d’accès à l’information for a review of the decision. The application must be submitted in writing; it can briefly describe the reasons for which the decision should be reviewed. Applications should be made to the Commission d’accès à l’information within 30 days of the date of the decision or of the time granted by the Act to the person in charge for processing the request.

Information will be available soon.

Distribution of information

Under section 4 of the Regulation respecting the distribution of information and the protection of personal information, L.R.Q., c. A-2.1, r. 0.2. , the Chambre must distribute certain documents and information on its website, insofar as they are accessible under the Act.

The Regulation on distribution is not intended to provide access through distribution to documents or information where such access is prohibited or rendered discretionary under the Act.

Organization chart

Chambre de la sécurité financière organization chart

Last updated: 2010-07-29

Management team

For the names and titles of management team members, please see the
"Management team"section on this website.

Person in charge of Access to Documents and Protection of Personal Information

Pursuant to paragraph 2 of section 8 of the Act, Mtre. Marie Elaine Farley, Vice-président to Legal Affairs and Corporate Affairs, has been appointed by the President and Chief Executive Officer to handle access to documents and protection of personal information within the Chambre.

You can reach Mtre. Farley as follows:

By mail:	Chambre de la sécurité financière 300, Léo-Pariseau St., 26th floor Montréal (Québec) H2X 4B8
By telephone	514 282-5777
By fax:	514 282-2225
By email:	responsableacces@chambresf.com

Document Classification plan

This document classification plan presents the Chambre’s activities and operations in a hierarchical structure that includes headings and sub-headings. It provides for standard classification of the documents in the Chambre’s possession, and makes it easy to locate them.

Chambre de la sécurité financière classification plan (in French)

Last updated: 2011-01-13

Inventory of personal information records

Under section 71 of the Act, the Chambre must file, in a personal information file, all personal information:

• That is identified or presented in such a manner as to be retrievable by reference to the name of a person or an identification number, or
• That has been or is intended to be used by the Chambre in making a decision concerning a person.

Moreover, section 76 of the Act stipulates that the Chambre must establish and keep up to date an inventory of the personal information files it created under the abovementioned section 71.

Inventory of personal information files

Last updated: September 22, 2011

Register of releases of personal information

Under section 67.3 of the Act, the Chambre must record in a register every release of the following personal information made without the consent of the person involved, as applicable:

• Release of information on a person’s identity in order to receive personal information that has already been gathered by a person or private organization, regarding which the Commission d’accès à l’information has been informed beforehand (section 66 of the Act)
• Release of information to a person or organization if it is necessary for the application of an act in Québec, whether or not the law explicitly provides for the release of the information (section 67 of the Act)
• Release of information to any person or body if the information is necessary for the carrying out of a collective agreement, order, directive or regulation establishing conditions of employment (section 67.1 of the Act)
• Release of information to any person or body if the information is necessary for carrying out a mandate or performing a contract for work or services entrusted by the Chambre to that person or body, except for a mandate or contract entrusted to a member of a professional order or other public body (section 67.2 of the Act)
• Release of information to a public body or agency of another government, if the information is necessary for the exercise of the receiving body’s rights and powers or the implementation of a program under its management (section 68, §1 of the Act)
• Release of information to a public body or agency of another government if it is clearly for the benefit of the person concerned (section 68, §1.1 of the Act)
• Release of information to a person or body where exceptional circumstances justify doing so (section 68, §2 of the Act)
• Release of information to a person or body if it is necessary for the purposes of a service to be provided to the person concerned by a public body, in particular for identifying the person (section 68, §3 of the Act)
• Release of a personal information file for the purpose of comparing it with a file held by a person or body if the information is necessary for the application of an act in Québec, whether or not the law explicitly provides for its release (section 68.1 of the Act)

The following items, as applicable, must also be consigned to the register:

• The existence of an agreement to collect personal information on behalf of a public body (or the Chambre), if the collection of personal information is required for the exercise of the rights and powers of the body or the implementation of a program under the management of the body (or the Chambre) with which the Chambre is cooperating to provide services or pursue a common mission (section 64 of the Act)
• The fact that personal information is used, with the consent of the person concerned, for purposes other than the purpose for which it was gathered (section 65.1 par. 2 of the Act)
• The fact that personal information is used without the consent of the person concerned for purposes other than the purpose for which it was gathered, insofar as such usage is consistent with the purposes for which it was collected (section 65.1 par. 2 §1 of the Act)
• The fact that personal information is used without the consent of the person concerned for purposes other than the purpose for which it was collected, insofar as such usage is clearly to the benefit of the person concerned (section 65.1 par. 2 §2 of the Act)
• The fact that personal information is used without the consent of the person concerned for purposes other than the purpose for which it was collected, insofar as such information is necessary for the application of an Act in Québec, whether or not the law explicitly provides for its use (section 65.1 par. 2 §3 of the Act)

Register of releases of personal information

Last update: September 22, 2011

Register of releases of personal information (release and collection agreements)

Last updated: September 22, 2011

Studies, research reports and statistics

In the framework of its mission, the Chambre is often required to conduct studies, analyses or researches and produce briefs in conjunction with hearings held by various financial market actors in Québec and Canada.

You can consult these studies and reports in this site’s "Publications" section. Chambre members’ profiles can also be consulted in the section "Member profile and fields of practice".

Studies, research reports ans statistics

Last updated: September 22, 2011

Documents provided under a request for access

Insofar as the Chambre is governed by the Act, it must sometimes respond to the requests for access to documents that it receives. Pursuant to paragraph 8 of section 4 of the Regulation respecting distribution, the Chambre makes available the documents sent under a request for access whose distribution is of interest for the purposes of public information. As per the Act and section 4 of this regulation, the Chambre shall only distribute the documents that are accessible under the Act.

Documents provided under a request for access

Last updated: September 22, 2011

Public registers

Paragraph 9 of section 4 of the Regulation respecting distribution requires a public body to publish on its website the public registers expressly required by law for which the public body is responsible. The legislation that applies to the Chambre does not require it to keep such registers.

Please see the section "Consulting the Register of representatives and businesses" for more information on the registers the Autorité des marchés financiers holds.

Description of the services provided by the Chambre

Various parts of this website provide information on the Chambre’s mission and the services it provides within the framework of its mission. Sections such as "Members and Continuing Education" and "Ethics and Discipline" contain descriptions of the services, programs and procedures that the Chambre provides and implements, as well as any forms related to these services, programs and procedures.

Laws, regulations, codes of professional conduct and ethics, directives and policies

The Chambre’s activities are governed by a number of laws and regulations. Moreover, the Act respecting the distribution of financial products and services gives the Chambre some regulatory powers, particularly with respect to professional conduct and continuing education to which all member representatives are subject.

Moreover, from time to time, the Chambre’s Board and management staff adopt regulations, codes of professional conduct and ethics, directives, policies and administrative procedures.

The laws that apply to the Chambre’s activities, their associated regulations, and administrative regulations appear in the website’s "Laws and Regulations section".

The other documents the Chambre uses in making decisions about its members or members of the public, as applicable, appear below, as long as such documents are accessible under the Act. Moreover, please note that documents that are only used for internal management purposes are not subject to the obligation to distribute.

Politique sur l’éthique et la déontologie des membres des bureaux de direction et des délégués des sections

Draft regulations published in Québec’s Official Gazette

Under the Act respecting the distribution of financial products and services, some of the regulations made by the Chambre must be published in the Gazette officielle du Québec, pursuant to section 8 of the Regulations Act (R.S.Q., c. 18.1). Pursuant to paragraph 12 of section 4 of the Regulation respecting distribution, the Chambre makes such draft regulations available.

No draft regulations currently appear in the Gazette officielle du Québec.

Contracts covered by section 22 of the Act respecting contracting by public bodies

The Chambre is not subject to the Act respecting contracting by public bodies (R.S.Q., c. 65.1).

List of financial commitments sent to the comptroller of finance

The Chambre does not have to transmit a list of its financial commitments to the comptroller of finance

Documents produced and tabled during a public hearing of the National Assembly or parliamentary commission

In the framework of its mission, the Chambre may be called upon to produce and table documents for a public hearing of the National Assembly or one of its commissions or sub-commissions. As per paragraph 15 of section 4 of the Regulation respecting distribution, the Chambre makes such available the documents it has produced and formally tabled.

No documents to date.