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MAKING A COMPLAINT

When a person considers that a professional who is a member of the Chambre de la sécurité financière has caused him harm, he can make a complaint to the syndic by requesting an inquiry through the request for investigation form.

Dissatisfaction with the services received, a lack of explanations (or of certain information) or a breach of the rules of ethics or of any legislation or regulation dealing with the pursuit of a representative’s activities are all reasonable grounds for sending a request for an inquiry to the syndic.

Who can ask for an inquiry?

Anyone can send a request for an inquiry to the syndic of the CSF. For example, consumers, insurance companies, consumer protection agencies, firms or dealers, the Autorité des marchés financiers, the Fonds d’indemnisation des services financiers, CSF members or any other person can file a request for an inquiry. The syndic or the assistant syndic can also initiate an inquiry on their own initiative.

When can a request for an inquiry be filed?

There is no deadline for doing so. In essence, a request for an inquiry can be filed as soon as a complainant is of the opinion that the representative has committed an ethical fault, such as not acting in accordance with the mandate given to him or violating one of the two codes of ethics or any related regulation with which representatives are required to comply.

Who can be the subject of a request for an inquiry?

Only CSF members can be the subject of an inquiry carried out by the office of the syndic. However, the syndic can investigate offences committed by a person who is no longer a CSF member if the person was a member at the time the alleged offences were committed.

Each request is carefully processed and each case is reviewed. A decision is made in light of the facts and the evidence in the file. It goes without saying that every request for an inquiry is seriously examined. The primary purpose of the inquiry process is the protection of the public. It also serves to sustain and improve the profession, ensuring that the professionals who work in the financial products and services industry are skilled and ethical individuals, all for the benefit of the public. The supervision of the practices of professionals contributes to maintaining their credibility in the eyes of the public.