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The Role of the Discipline Committee

The Discipline Committee must:

  • Hear the complaints filed by the syndic or by individuals against a member of the ChAD.
  • Decide if the professional is guilty or not.
  • Impose a sanction, if necessary.

These complaints must be made under the Act respecting the distribution of financial products and services or its regulations.

The Discipline Committee is chaired by a lawyer who has at least 10 years of experience and is named by the Minister of Finance. Three people at a time sit on the Discipline Committee, i.e.:

  • the president, and
  • two certified professionals of the same discipline as that of the respondent.

The Discipline Committee can impose disciplinary sanctions, from a mere reprimand to a fine, including a temporary or a permanent de-registration.