Compliance officers
Are you responsible for compliance at a firm or financial institution? The Chambre’s Dealer/Firm Portal is designed for you. This secure portal allows you to consult the PDU records of advisor members attached to your organization. It is an essential tool for ensuring rigorous monitoring in compliance with regulatory requirements.
Dealer/Firm Portal
The Chambre has set up a web portal for dealers and firms to consult the PDU records of the Chambre’s advisor members who are attached to them. This tool makes it possible to:
- check the compliance status of advisors under your supervision,
- track their training hours,
- access reliable, up-to-date data directly from the source, and
- facilitate your internal audits and regulatory obligations.
Accessing the Dealer/Firm Portal
You don’t have access to the Dealer/Firm Portal yet? Fill out the form on the sign-in page the start the process.
Any questions? Write us at espacecc@chambresf.com.
Learn more
The CSF’s activities and the practice of its members are governed by a number of laws and regulations. The CSF also enforces its own internal rules in order to fulfill its mission of protecting the public.
