How do I complain about my financial adviser?

Complain to the firm in writing first. If unresolved, ask the firm to transfer your file to the AMF, which reviews how the complaint was handled and can offer dispute resolution.

Does the AMF compensate investors?

The AMF administers a compensation fund for certain losses caused by fraud involving representatives it regulates, subject to strict eligibility. It is not a general investor guarantee.

Is the AMF the same as the Ontario Securities Commission?

It performs a comparable securities role for Quebec, but its mandate is broader — it also covers insurance and deposit institutions.

Autorité des marchés financiers (AMF) — Quebec Financial Regulator

Autorité des marchés financiers (AMF)

Quebec Financial Markets Authority

The AMF is Quebec's integrated financial regulator, overseeing securities, insurance, deposit institutions, financial planning and the distribution of financial products. If you have a complaint about a financial institution or adviser in Quebec, the AMF can review how the firm handled it and may transfer your file for dispute resolution.

What it does

Regulates securities markets and registrants in Quebec
Supervises insurers and deposit institutions
Oversees financial advisers and product distribution
Reviews consumer complaints against financial firms

Matters it hears

Investment suitability and adviser misconduct concerns
Insurance sales and claims-handling complaints
Disclosure and prospectus compliance
Fraud and market manipulation referrals

Appeals & review

Enforcement matters may proceed before the Tribunal administratif des marchés financiers, with appeal routes from there.

Appeal and review deadlines are short and strictly applied. Treat the decision date as the start of a clock.

Frequently Asked Questions

How do I complain about my financial adviser?: Complain to the firm in writing first. If unresolved, ask the firm to transfer your file to the AMF, which reviews how the complaint was handled and can offer dispute resolution.
Does the AMF compensate investors?: The AMF administers a compensation fund for certain losses caused by fraud involving representatives it regulates, subject to strict eligibility. It is not a general investor guarantee.
Is the AMF the same as the Ontario Securities Commission?: It performs a comparable securities role for Quebec, but its mandate is broader — it also covers insurance and deposit institutions.

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General information about jurisdiction and process, not legal advice. LegalCounselNearMe is not a law firm and is not affiliated with Autorité des marchés financiers (AMF). Procedures, forms and fees change — the official site is authoritative.