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Member Misconduct and Enforcement

As an FSRA approved credentialing body and as an ISO accredited certification body, the Canadian Securities Institute investigates consumer complaints and other matters where a credential holder or designation holder may have failed to meet their respective Code of Ethics.

Allegations of a violation of any Code of Ethics are managed by the Designation Ethics Committee according to the CSI Ethical Misconduct Process. If the Committee determines a violation occurred, a disciplinary sanction is recommended.

CSI will update this page with any violations found against a credential holder or designation holder. In addition, CSI will update the Personal Financial Planner (PFP®) Directory and the Designated Financial Services Advisor (DFSA™) Directory on a members status, should it change.

If you have an issue that you would like to report, please provide details using the link below.

Designation Ethics Committee Decisions and Enforcement

The individuals listed below have been found to have breached the their Code of Ethics and have received disciplinary sanctions. Individuals who have been suspended or have their designation revoked have updated statuses on the Personal Financial Planner (PFP®) Directory and the Designated Financial Services Advisor (DFSA™) Directory.