Corporative booklet - Chambre de la sécurité financière

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Corporative booklet - Chambre de la sécurité financière

A Well Supervised ProfessionIn order to increase public confidence and client confidence in theprofession, your practice is governed by strict rules of ethics andprofessional conduct.As a member of the Chambre, if you pursue your activities in insuranceof persons, group insurance of persons or financial planning, you mustcomply with the Code of ethics of the Chambre de la sécuritéfinancière. If you pursue your activities in the securities registrationcategories (group savings plan brokerage or scholarship planbrokerage), you must comply with the Regulation respecting therules of ethics in the securities sector.The syndic plays a key role in ensuring that these rules are respectedand in protecting the general public.The Syndic’s RoleThe duties of the Chambre’s syndic involve inquiring into the practicesof a representative who allegedly violated the Act respecting thedistribution of financial products and services, the SecuritiesAct or their regulations. The investigation process is initiated uponreceipt of a request made by any person.Once the inquiry is over, the syndic may decide to apply an administrativemeasure or file a formal complaint with the Disciplinary Committeeagainst a representative.disciplinary CommitteeThe Chambre’s Disciplinary Committee hears disciplinary complaintsfiled by the syndic. The Committee is comprised of three members: theChairperson or Vice-chairperson who is assisted by two other persons ofthe same sector of activity and marketing sector as the representativeaimed by a complaint.Would you like to become a member of the Chambre’s DisciplinaryCommittee? Submit your candidacy by completing the candidacyform available at www.chambresf.com/en/, under the “Ethics &Discipline” menu. The recruiting periods vary and generally takeplace every three years.The PrixExcellence:Give Your Careera BoostAre you proud of your professionalachievements? Do you have a positiveinfluence on your peers? The PrixExcellence may be for you!In order to value the competenceand excellence of its members, theChambre has established the PrixExcellence. These awards havebeen increasingly popular since theircreation in 2008:■■■■Each year, the Prix d’Excellencede la Chambre de la sécuritéfinancière underscores theexceptional contribution of amember who, through his orher remarkable professionalachievements, serves as anexample and inspiration for hisor her peers;The Prix de la Relève dela Chambre de la sécuritéfinancière is designed to supportthe career of a member who showsa excellent aptitude at the beginningof his or her professional career.Being awarded these honours couldhave a very positive impact on yourcareer and give you a significantdegree of recognition. Visit www.chambresf.com/en/chamber/awards-and-honours/chamber/ forall the details and keep an eye out forthe call for nominations in September.

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