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 About this guide | | Investigations, no matter how well-handled, are intrusive by nature and cause stress to the individual under investigation regardless of whether they have done something wrong. While the Commission cannot relieve you of this stress, by providing this detailed explanation of the investigation process, uncertainty about the process will not be a source of worry. |
What the Commission investigates | | The Commission investigates conduct that appears to be deserving of sanction. Learn what is and is not considered conduct deserving of sanction. |
Understanding the investigation process | | The Commission’s standard investigative procedure is designed to minimize any intrusive or disruptive effects of an investigation. The standard investigative procedure is followed when the Commission receives a written complaint. If the complainant agrees to cooperate with the investigation, the next steps include:
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About the Compliance Officer | | The Compliance Officer is responsible for conducting the Commission's investigations. Learn more about the Compliance Officer's role. |
Requirement to cooperate | | While Compliance Officers will take into account serious personal issues when scheduling interviews and setting deadlines for the submission of documents and responses, Industry Members are required to cooperate with the investigation. Cooperation means providing truthful, complete responses in a prompt and constructive manner.
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Possible restrictions | | Can I change brokerages while my conduct is under investigation? Can my licence be suspended during the investigation? |
Investigation outcomes | | Once the investigation is complete, the Registrar will review the file and determine how to proceed based on the evidence that was gathered.
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