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.
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.
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.
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.
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.