001
Secure message inbox

To view all e-mails and electronic documents from the AMF.

002
Attach representatives and maintain registration

To manage representatives' files and apply to maintain a business's registration.

003
Contact information and language preferences

To change the mailing address, telephone numbers and language preference of a business.

004
Disclosure schedule

To file the required documents at regular intervals and know the filing deadlines.

005
Requests for information and other requests

To submit on-line requests for information and other non-billable ad hoc requests.

006
View statement of account

To view a business's statement of account (invoices and payments) and the applications associated with each invoice (paid or unpaid).

007
Follow up on applications/requests

To follow-up on the status of applications and requests submitted to the AMF.

008
Statement of account – Payment

To view the balance in the business's account and pay invoices issued to it or for which it acted as third party payer.

009
Approval of supervisor recommendation

To approve the recommendations of a supervisor.

010
Manage probationary periods

To designate a replacement supervisor, a candidate and a sector class for each probationary period and pay the required fees.

011
Withdrawal from sectors and withdrawal of registration

To apply for withdrawal from one or more sectors or withdrawal of registration.

012
Professional liability insurance  coverage

To manage professional liability insurance policies and attachments of insured representatives.

Blocks 020 to 029

To restrict access to the following blocks depending on AMF unit:

• Secure message inbox (001)
• View statement of account (006)
• Follow up on applications/requests (007)
• Statement of account - Payment (008)

020
Access to client file restricted to Qualification

Restrict access to information related to AMF Qualification:

• Approval of supervisor's recommendation
• Application for authorization of probationary period
• Application to Modify Probationary Period

021
Access to client file restricted to Certification and Registration

Restrict access to information related to AMF Certification and Registration:

• Application to add attachment
• Application for authorization – Special broker
• File update (Distribution Act) – Firm
• Application for branch transfer of representatives
• Application for confirmation of attachment
• Application - Mergers and acquisitions – Distribution Act
• Registration Application – Firm or Independent Partnership
• Registration Application – Independent Representative
• Application to maintain registration
• Application to maintain registration – Independent representative
• Application for withdrawal from sector or withdrawal of registration for an independent representative, an independent partnership or a firm
• Application for cancellation of registration
• Application for cancellation of registration
  • Failure to maintain registration
• Application to withdraw representative
• Application for Attestation of Right to Practise

022
Access to client file restricted to Securities

Restrict access to information related to the Securities Act (SA):

• Request for acquisition – Firm (SA)
• Application for analysis of administrative penalties and/or withdrawal
• Exemption application – Firm (SA)
• Disclosure - Annual audited non-consolidated financial statements
• Disclosure – Calculation of excess working capital
• Disclosure – Annual fees

024
Access to client file restricted to information of general interest

Restrict access to information related to An Act respecting contracting with public bodies:

• Application for authorization to enter into a public contract/subcontract
• Application for renewal/non-renewal of authorization to enter into a public contract/subcontract
• Application to add/change business relationships

025
Access to client file restricted to Finance

Restrict access to information related to AMF Finance:

• Invoices
• Confirmation of payment
• Statements of account

026
Access to client file restricted to Alternative Insurance Distribution Practices

Restrict access to information related to AMF Alternative Insurance Distribution Practices :

• Other application/request - Alternative Insurance Distribution Practices

027
Access to client file restricted to Compensation

Restrict access to information related to AMF Compensation

028
Access limited to AMF Complaints

Restrict access to information related to AMF Complaints

029
Access to client file limited to department – Insurers and deposit institutions

Restrict access to information concerning financial institutions (insurers, financial services cooperatives, trust companies and savings companies). 

030
Insurance and financial planning – Business relationships

To manage business relationships of firms/independent partnerships subject to An Act respecting the distribution of financial products and services.

031
Financial institutions – Business relationships

To manage business relationships of financial institutions (insurers, financial services cooperatives, trust companies and savings companies).

032
Insurers and deposit institutions – Licensing

To manage the rights to practise of financial institutions (insurers, financial services cooperatives, trust companies and savings companies).

033
Distribution without a representative (DWR) – Files

To manage DWR files.

034
Distribution without a representative (DWR) – Business relationships

To manage business relationships in DWR.

035
Training – Mortgage brokerage

To manage and declare minimum qualifications and professional development activities in mortgage brokerage.

036
Complaint management

To enter and report consumer complaints