Professionals authorized to act in the sectors and registration categories supervised by the CSF are automatically members of the CSF. By the same token, they are listed in the register of persons authorized to practise.
This register includes the business contact information for all CSF members. The register, which is maintained by the Autorité des marchés financiers (AMF) and can be consulted on its website, allows the public to determine if an individual or firm is authorized to pursue activities in the financial products and services sector.
To consult the register, click here.
The Disciplinary Committee hears every disciplinary complaint that is made against a representative who is a CSF member and pertains to violations of the provisions of the Act respecting the distribution of financial products and services, the Securities Act or any of their regulations. Its members must assess the evidence presented to them in order to determine if the representative has committed such violations. If so, they must determine the sanction to be imposed on the representative.
The roll for hearing contains the list of cases heard by the CSF’s Disciplinary Committee and provides details regarding each case. To consult the roll for hearing, click here.
If you are dissatisfied with a representative’s services, if the representative is not providing certain information or explanations in answer to your questions, or if it seems he is not complying with his professionals duties, you can submit a request for an inquiry to the office of the syndic.
To do so, you must fill out a request for investigation form and send it to the CSF.
Other recourses are also available to consumers of financial products and services. Click here to learn about these mechanisms so you can decide what to do.