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D-9.2 - Act respecting the distribution of financial products and services
Section 376
Disposition versions
376. The provisions of the Professional Code (chapter C-26) relating to the filing and hearing of a complaint, and to the decisions and penalties arising from the complaint, except subparagraph c of the first paragraph of section 156, apply, adapted as required, to the complaints received by the discipline committee.
The discipline committee may impose a fine of not less than $2,000 nor more than $50,000 for each offence. In determining the fine, the committee shall consider the damage caused to clients and the benefits derived from the commission of the offence.
376. The provisions of the Professional Code (chapter C‐26) relating to the filing and hearing of a complaint, and to the decisions and penalties arising from the complaint, adapted as required, apply to the complaints received by the discipline committee.
