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D-9.2 - Act respecting the distribution of financial products and services
Section 565
Disposition versions
565. The syndic may file a complaint before the discipline committee against a market intermediary who has committed an offence under the Act respecting market intermediaries (chapter I‐15.1) or a regulation thereunder. The discipline committee has jurisdiction to hear the complaint.
The same applies to the co‐syndic in connection with an offence under the Securities Act (chapter V‐1.1) or a regulation thereunder committed by the representative of a restricted practice broker in group savings, investment contracts or scholarship plans. The discipline committee has jurisdiction to hear the complaint.
