Protection of the public

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 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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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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Role for hearing

 

To find dates and hearing information.

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Disciplinary decisions

 

All decisions rendered by the disciplinary committee since 2000 are available online, free of charge, through the SOQUIJ website. Select “Comité de discipline de la Chambre de la sécurité financière (CDCSF)” in the “Tribunal ou organisme” drop-down menu. Please note that these decisions may be appealed to the Court of Quebec.

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