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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. 2. , the CSF 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

Last update: Coming soon

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, Me Marc Beauchemin, has been appointed by the Interim President and Chief Executive Officer to handle access to documents and protection of personal information within the CSF.

You can reach Me Beauchemin as follows:

By mail:

Chambre de la sécurité financière
2000, McGill College avenue, 
12th floor,
Montréal, (Quebec) H3A 3H3

By telephone:

514 282-5777

By fax:

514 282-2225

By email:

responsableacces@chambresf.com

 
Document Classification plan

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

Chambre de la sécurité financière classification plan (in French)

Last updated: 2014-07-22

Inventory of personal information records

Under section 71 of the Act, the CSF 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 CSF in making a decision concerning a person.

Moreover, section 76 of the Act stipulates that the CSF 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 CSF 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 CSF 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 theAct)
  • 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 CSF), 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 CSF) with which the CSF 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 CSF 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 Documentation section. CSF members’ profiles can also be consulted in the section Fields of practice.

Studies, research reports ans statistics

Last updated: September 22, 2011

Documents provided under a request for access

Insofar as the CSF 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 CSF 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 CSF 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 CSF 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 CSF

Various parts of this website provide information on the CSF's mission and the services it provides within the framework of its mission. Sections such as Education and Ethics & discipline contain descriptions of the services, programs and procedures that the CSF 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 CSF’s activities are governed by a number of laws and regulations. Moreover, the Act respecting the distribution of financial products and services gives the CSF 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 CSF’s Board and management staff adopt regulations, codes of professional conduct and ethics, directives, policies and administrative procedures.

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

The other documents the CSF 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 CSF 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 CSF 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 CSF 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 CSF 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 CSF 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 CSF makes such available the documents it has produced and formally tabled.

Click here for all the briefs writen by the CSF.