PROTECTIONS REGULATORY

L’AUTORITÉ DES MARCHÉS FINANCIERS
Autorité des Marchés Financiers (AMF)
The Autorité des marchés financiers (AMF) is the body mandated by the government of Québec to regulate the province’s financial markets and provide assistance to consumers of financial products and services.
 
The AMF is unique by virtue of its integrated regulation of the Québec financial sector, notably in the areas of insurance, securities, deposit institutions (other than banks) and the distribution of financial products and services.
 
In addition to the powers and responsibilities conferred on it by its incorporating legislation, the AMF oversees the enforcement of laws in each of the areas it regulates. It can also draw on self-regulatory organizations (SROs), to which certain regulatory powers are delegated.
 
The AMF is financially self-sufficient through the fees and dues paid by the persons and firms governed by the legislation it is charged with enforcing.
 
Financial Services WHITEMONT and its representatives are subject to regulations and the AMF inspections.
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LA CHAMBRE DE LA SÉCURITÉ FINANCIÈRE
The mission of the Chambre de la sécurité financière is to protect consumers by maintaining discipline and overseeing the training and ethics of nearly 32,000 members who work in five sectors and registration categories, that is: Group savings plan brokerage, financial planning, insurance of persons, group insurance of persons and scholarship plan brokerage.
 
The Chambre carries out its mission by stringently monitoring the practices of these professionals and continuously upgrading their knowledge.
 
Financial Services WHITEMONT and its representatives are subject to the code of ethics of the CSF.
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INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
The Investment Industry Regulatory Organization of Canada is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada. IIROC sets high-quality regulatory and investment industry standards, protects investors and strengthens market integrity while maintaining efficient and competitive capital markets.
 
IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.
 
Our branch office and registered advisors with PEAK Securities are subject to regulations and IIROC inspections.
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ORGANISME D’AUTORÉGLEMENTATION DU COURTAGE IMMOBILIER
The Organisme d’autoréglementation du courtage immobilier du Québec (OACIQ) is responsable for overseeing real estate brokerage in Québec. Its mission is to protect the public by supervising the professional activities of all real estate brokers and agents practicing in Québec, in accordance with the Real Estate Brokerage Act.
 
Mortgage Planners Agency and brokers with Mortgage Planners are subject to regulation by the OACIQ.
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