Ethical conduct and Discipline

The CSF conducts over 500 inquiries each year to protect consumers of financial services. Discover the role of the syndic and the disciplinary committee, and view decisions rendered.

Role of the syndic

If a consumer of financial products and services thinks their advisor has not acted in their best interests or in a professional manner, they can contact the CSF syndic. The syndic will initiate an inquiry and file a complaint with the disciplinary committee if necessary.

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The inquiry process

The inquiry process begins when the syndic receives a request for inquiry. The syndic can also conduct an inquiry on its own initiative.

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Disciplinary Process

The disciplinary process starts when the syndic, or any other person, files a written complaint with the disciplinary committee.

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Disciplinary committee

The role of the CSF Disciplinary Committee is to hear complaints against a member of the Chambre following a violation of the provisions of the Act respecting the distribution of financial products and services, the Securities Act, or one of their regulations.

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Role for hearing

To find dates and hearing information.

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Simplified summaries of the decisions of our Disciplinary Committee

The Chambre in collaboration with SOQUIJ, publishes simplified summaries of decisions rendered by its Disciplinary Committee for the benefit of consumers. These summaries deal with the most common ethical misconduct committed by counsellors and are in keeping with the Chamber's mission to protect the public.

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