Enforcement

Enforcement: Protecting the public and maintaining the integrity of Québec’s financial markets

The AMF enforces compliance with financial sector rules. It acts through two components: a monitoring compliance and detection component, which involves inspecting activities and examining reported suspicious situations, whistleblower reports and self-reports, and an intervening and sanctioning component, which includes conducting investigations and imposing measures or sanctions.

Inspections

The AMF’s inspection activities play a key role in protecting consumers and maintaining a strong, predictable financial sector in Québec. The primary goal of inspections is to support individuals and entities registered in the securities, insurance and mortgage brokerage sectors in order to foster a culture of ongoing compliance.

Inspections help maintain market and consumer trust through an approach based on prevention and continuous improvement.

Investigations

The AMF’s investigation activities are focused on verifying compliance with the laws and regulations that protect consumers and ensure financial market integrity. When it suspects a breach, the AMF collects and analyzes information to clarify the situation and, if necessary, take appropriate action. Underpinned by a disciplined approach, these investigations are a means to prevent wrongful conduct, penalize violations and build public trust in Québec’s financial sector.

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Major investigations

Learn about the actions the AMF has taken to put a stop to illegal activities, deal with major offences, protect the public and maintain financial market integrity. This section highlights major enforcement actions and cases that have made the news.

Refer to our major issues page

Reported suspicious situations, self-reporting and whistleblowing

The AMF offers various ways to provide information to its team of investigators so they can intervene more quickly, reducing the impact of breaches and offences on the financial markets, victims and the court system.

Compare ways to provide information