GROUP SAVINGS PLAN BROKERAGE AND SCHOLARSHIP PLAN BROKERAGE
Regulation respecting the rules of ethics in the securities sector
REVOKED ON SEPTEMBER 28, 2009
In addition to the numerous legislative and regulatory requirements that professionals who are members of the CSF must satisfy, every representative seeking to develop a solid career must, in particular, know his client well and ensure he gives his client all the information the client needs in order to understand the products and services being offered to him.
While expertise can be gained through appropriate training and work experience, trust can only be earned through a professional practice marked by integrity, transparency and loyalty that demonstrates that the representative has the client’s interests at heart. Moreover, given that trust is paramount in your client relationships, you must be able to show your clients that they can deal with you in full confidence. This is why there are rules governing your practice. These duties and obligations derive from the Securities Act and its regulations, more specifically, the Regulation respecting the rules of ethics in the securities sector.
In order to illustrate the application of the various provisions of the Regulation respecting the rules of ethics in the securities sector, certain case studies drawn from decisions rendered by the CSF’s Disciplinary Committee will be presented. These will provide you with a better understanding of your obligations.