FAQ

About the CSF Dealer/Firm Portal

      • The CSF has developed a secure section on our Website where dealers and firms will be able to consult the PDU records of their CSF members in real time.
      • Initially, the Chief Compliance Officers and responsible officers of all dealers and firms will be invited to access the portal. Later, they will be able to give access to other members in their organization.
      • The list of your advisors who have consented (or not) to share their PDU records with your firm.
      • The summary of your advisors’ PDU records, including:
        • The number of PDUs completed or missing per reference period
        • The completion status of the mandatory compliance course
    • Please note that each advisor must have consented to share their record with your firm before you will be able to consult it.
      • You will be able to download all the information in Excel format.
      • The CSF information center will be happy to assist you if you need help or additional information regarding access to the Dealer/Firm Portal.
      • Yes, the Dealer/Firm Portal is available in both English and French.
      • Yes, the Dealer/Firm Portal has been designed to be accessible via your mobile phone and/or tablet (IOS and Android).

Privacy

  • The CSF is responsible for the confidentiality of its members’ personal information, so advisors will need to give their consent (in their secure Member’s area on the CSF website) for you to be able to consult the summary of their PDU records.
  • Advisors will be able to withdraw their consent at any time, and access will be automatically revoked if the relationship between the dealer/firm and the advisor ceases to exist, for example, upon a change of employment.
      • Once a request for access to the Dealer/Firm Portal is made by the dealer/firm, the advisors associated with this organization will see a request for consent in their secured Member’s area on the CSF website. Each advisor will then have the choice to give you access to their PDU records.
      • Yes, each advisor will have to give their consent beforehand.
      • In this case, you will only have access to the PDU records of advisors who have given their consent. You will be able to run a search to identify which of your advisors have still not consented.
      • Yes. An advisor can withdraw consent at any time, and consent will be automatically revoked if the relationship between the dealer/firm and the advisor ceases to exist, for example, upon a change of employment.
  • In this case, the system will consider the advisor’s consent to be automatically withdrawn.
  • The advisor will have to consent to share their records with their new firm via their secured Member’s area on the CSF website. If their new firm has already applied for access to the Dealer/ Firm Portal, the request for consent will automatically appear once their job change is effective.

Chief Compliance Officer/Responsible officer

      • A user code will be created and sent by the CSF to all Chief Compliance Officers and responsible officers for dealers and firms, along with a summary of the procedure to follow in order to access our portal.
      • No. An advisor’s PDU record is personal information and only he/she can consent to sharing it.

Authorised access for the dealer/firm

Yes, it will be possible for a Chief Compliance Officer or responsible officer to delegate access to the portal to other members in their organization

Authorised access delegation

      • You must inform your Chief Compliance Officer or responsible officer, only he/she can delegate this access to you.
      • As soon as the Chief Compliance Officer or responsible office gives you access to the portal, you will automatically receive an email from the CSF with your login details and the steps to follow.
      • No. Only the Chief Compliance Officer or responsible officer has the authority to delegate access.