Consult this section to learn all about ethics, best practices and your professional obligations.
Business development
Follow these guidelines to write communications, promote your services, use social media safely and in compliance and buy or sell a book of business. Please follow these guidelines when writing communications, promoting your services, using social media and acquiring or selling a clientele.
Client relationships
Everything you need to know to cultivate successful client relationships can be found here. Our tips may help you get to know your clients better and probe their needs.
Records management
Keeping and filing records properly not only makes you more efficient, but also protects your clients' privacy. Follow the guide!
Compensation
Learn about the conditions governing your compensation, working a second job, participating in sales contests and sharing commissions.
Toolbox
The proper operation of the financial markets requires consumer confidence in those markets. That confidence, in turn, depends largely on the integrity of financial market professionals. It is therefore crucial to show consumers that they can have confidence in the financial markets because there exist rigorous standards of practise that are applied and respected by industry members. The disciplinary process and the rules of ethics do not merely target extreme cases of fraud or dishonesty. The are also intended to foster proper and exemplary conduct.
Regulatory environment
Here you’ll find details and links for all regulations applicable to financial services professionals, based on their field of practice.
Are you being investigated?
Find out how the investigation will proceed, the powers of the syndic and the disciplinary process.