3. Collaboration with the OACIQ

3.1 Obligation to collaborate with the OACIQ

3.2 Request for information, documents and meetings

3.3 In a meeting with the Syndic

3.4 In the context of a request from the Inspection Department or an obligation provided for by the Act

3.5 Confidentiality of investigations

---

3.1 Obligation to collaborate with the OACIQ

Brokers’ and agency executive officers’ collaboration allows the various bodies of the OACIQ to play their role efficiently. Failure to comply with this obligation may not only result in serious consequences for the protection of the public but can also discredit the entire profession. It unduly delays or paralyses the operations concerned, which unnecessarily prolongs the uncertainty for the persons involved (brokers, agencies, clients, etc.).

In accordance with section 105 and 106 of the Regulation respecting brokerage requirements, professional conduct of brokers and advertising (hereinafter called “Regulation respecting brokerage requirements”), the licensee must collaborate with the OACIQ during the following operations:

• An inspection
• An investigation conducted by the Syndic¹
• Process by the Public Assistance Department to obtain information
• Process by the Indemnity Committee to obtain information
• Proceeding related to mediation, arbitrage or conciliation conducted by the OACIQ

The duty to collaborate means that the licensee must:

• disclose all the facts he is aware of, without concealment or exaggeration
• tell the truth
• provide all required documents without concealment
• reply, as soon as possible, to every request in the manner determined by the person making the request
• attend any meeting (in person, virtually or by phone) to which he is invited

The contact information (phone number, email, address) provided to the OACIQ by the licensee must be up to date, so that the regulator can contact him.  The licensee is deemed to have read the requests sent by the OACIQ to these telephone numbers, email or address.

Also, under section 78 and the Real Estate Brokerage Act, an inspector, syndic or assistant syndic may have access to the licensee's establishment, examine and make copies of all books, registers, accounts, records and other documents relating to the licensee's activities and require any information or document relating to the carrying out of the Act.

In addition, no one may hinder the work of a person conducting an inspection or investigation.

It is important to remember the confidentiality obligations of licensees when they are questioned by the syndic of the OACIQ during an investigation. They cannot reveal the fact that a request for information or a summons, for example, has been sent to them by the Syndic.

The licensee must not communicate with the person who requested an investigation or intervention (except with prior written permission of the syndic), or with the various stakeholders involved in the transaction as of when he is informed that a request for an inquiry or intervention has been made in his regard, that such inquiry or intervention is underway or a disciplinary complaint has been filed against him.

In the same vein, a licensee may not encourage a person who has filed a complaint to withdraw his request for assistance from the OACIQ as a condition for settling a dispute.

Finally, where a licensee's business corporation is involved, the collaboration of executive officers, directors and employees of that corporation, if any, is required.

3.2 Request for information, documents and meetings

A licensee who receives a request for information, documents or a meeting from the syndic of the Public Assistance Department or Inspection Department shall take such request seriously and comply with it promptly or within the time period specified in the request.

Moreover, he must not urge a person holding information relevant to such operation not to collaborate. Finally, he must not refuse to authorize a person to disclose such information (section 107 of the RBR).

a) The request with a deadline

When a request is sent by the Inspection Department, the Public Assistance Department or the Syndic, a deadline is set for providing the documents and information requested or for responding to the summons.

If the broker or agency executive officer is unable to respond to the request before the expiry of the deadline, he must provide the reasons in writing.

Here are examples of requests that are addressed to brokers and agency executive officers:

• Requests from the Inspection Department:
  • Submitting the documents and information required for an inspection;
  • Providing the documents and information required during the inspection;
  • Making the required corrections to the trust transaction report;
  • Making the required follow-ups with the Inspection Department;
  • Sending an acknowledgment of receipt of the inspection report and the undertaking, if applicable;
  • Being present on the date and time of the inspection;
  • Attending the entire start-up session on the scheduled date and time;
  • Submitting the documents required for the opening, updating and closing of the trust account, as , well as in the context of a request for the cessation of activities by an agency or broker acting on his own account.
• Requests from the Public Assistance Department and Office of the Syndic
  • Providing the requested documents and information within the specified time period;
  • Answering questions without exaggeration, concealment or misrepresentation;
  • Respond to any correspondence from the Syndic's Office;
  • Respecting the notices of summons to Syndic’s Office;
  • Making sure that the licensee's employees or agency brokers collaborate.

b) Reminder

If the broker or agency executive officer fails to comply with the request, he or she will receive a single reminder.

c) Summons to the Syndic's Office and the filing of a disciplinary complaint

After receiving a reminder, if the licensee still does not cooperate with the department concerned within the specified time period without providing sufficient reasons in writing after receiving a reminder, he or she may be summoned to the Syndic’s Office. Moreover, considering that failure to cooperate constitutes a serious ethical breach, a disciplinary complaint could be filed with the Discipline Committee by the syndic.

In the case of a broker carrying on activities within a business corporation, it is important to mention that this broker must also ensure the collaboration of the corporation, its executive officers and employees, if applicable.

▲ Return to top

3.3 In a meeting with the syndic

When summoned by the syndic, the licensee must show up at the agreed time and place. The syndic is not required to indicate in advance the reason for the meeting or the nature of the investigation.

During this meeting (in person, virtually or by phone), the licensee cannot be accompanied by his agency executive officer. He can only be accompanied by his lawyer.

In the course of an investigation by the syndic, the licensee must answer all the questions put to him. He cannot refuse to answer a question even if it seems irrelevant to him. If he is accompanied by a lawyer, the latter cannot object to the questions asked by the syndic. He must answer truthfully and completely, failing which a disciplinary complaint may be filed against him for not collaborating with the syndic.

In the case Castiglia v. 9130-0954 Québec Inc. and Jean-François Lavoie, 2021 CanLII 27565, the Discipline Committee stated that:

"(TRANSLATION) The first duty of any professional is to collaborate with the syndic of his order without delay and this principle has existed in professional ethics for over 50 years;

The practice of a profession is not a right, but a privilege, and the member of an order must at all times collaborate in the primary mission of any order, which is the protection of the public.”

▲ Return to top

3.4 In the context of a request from the Inspection Department or an obligation provided for by the Act

a) General accounting and trust accounting

According to section 38 of the Regulation respecting records, books and registers, trust accounting and inspection of brokers and agencies, each year, before March 31, and each time the OACIQ so requests, the agency executive officer or the broker acting on his own account must send the following documents to the OACIQ:

• A summary of the deposits into and withdrawals from the holder’s general trust account and all special trust accounts including the particulars specified in section 38 of the REBA;
• A copy of the bank reconciliation statement, established at the end of the calendar year or for the period for which the Organization requests it, for the general trust account and each of the special trust accounts including the particulars specified in section 38 of the REBA;
• The detailed list of the sums held in the licence holder’s general trust account and special trust accounts at the end of the calendar year or the period for which the Organization requests the list. This list must contain what is provided for in section 38 of the REBA.

b) Register of disclosure notices

Each year, before March 31, and each time the OACIQ so requests, the licence holder must send a copy of the register of disclosure notices to the Organization, in accordance with section 7 of the Regulation respecting records, books and registers, trust accounting and inspection of brokers and agencies.

c) Self-inspection questionnaire

Self-inspection is a tool that was implemented by the OACIQ Inspection Department to supervise and oversee real estate brokerage practice in Québec. Each year, agency executive officers and brokers acting on their own account must carry out their self-inspection and report to the Inspection Department. This measure aims to consolidate or improve certain aspects of the practice and thus ensure the protection of the public.

Agency executive officers and brokers acting on their own account must therefore send the answers to the annual self-inspection questionnaire within the specified time frame. Reminders are sent to them by the Inspection Department by email and via the PRO@CTIVE. The self-inspection questionnaire must be completed fully and truthfully.

The OACIQ Discipline Committee has recently found several agency executive officers and agencies guilty of failing to send their self-inspection questionnaire within the prescribed period and, in some cases, for making false statements or for not responding to subsequent requests from the OACIQ. The Discipline Committee has notably ordered 30-day licence suspensions for agency executive officers and imposed fines on the agencies in question. For more information, read the full disciplinary decisions:

• Decision on guilt and sanction (33-20-2247/33-20-2248)           
• Decision on guilt and sanction (33-20-2278/33-20-2279)
• Decision on guilt and sanction (33-20-2243/33-20-2244)
• Decision on guilt and sanction (33-20-2263/33-20-2265)
• Decision on guilt and sanction (33-20-2241)
• Decision on guilt and sanction (33-20-2240)
• Decision on guilt and sanction (33-20-2242)
• Decision on guilt and sanction (33-20-2238/33-20-2239) 

In the case Poirier v. Yu, 2021 CanLII 51225, the Discipline Committee clearly stated that section 105 of the Regulation respecting brokerage requirements, professional conduct of brokers and advertising "imposes on professionals the duty to collaborate during an inspection by disclosing all required information or documents as soon as possible." It also pointed out that "brokerage professionals must always ensure that they can be reached at all times, whether by telephone or email, especially when the communication is from the OACIQ. ”

Failing to carry out this self-inspection within the prescribed period and not collaborating with the various bodies of the OACIQ constitute serious violations that directly undermine the Organization's public protection mission. The OACIQ Discipline Committee in no way tolerates this type of offence.

▲ Return to top

3.5 Confidentiality of investigations

When the collaboration of a licensee is required by an OACIQ department, it is important to remember that such steps are strictly confidential.

It is therefore essential that licensees take the necessary measures to ensure the confidentiality of their communications with the OACIQ staff.

When documents or information are requested from an agency executive officer, the latter must not inform the broker(s) concerned and the other stakeholders involved in the case.

Likewise, a broker should avoid discussing any inquiries received in the course of an investigation. However, note that the broker may have to disclose to his agency executive officer that he is the subject of a request for assistance or an investigation.

Respecting the confidentiality of requests made to brokers and agency executive officers reflects their integrity and professionalism. Should this obligation not be respected, disciplinary measures could be taken in appropriate cases.

The entire request for assistance and the investigation file are confidential, including all the procedures and communications carried out in this regard. No one can access them or know if a licensee is the subject of a request for assistance or an investigation. When a disciplinary complaint is filed against a broker, evidence filed with the Discipline Committee may be made public, unless otherwise ordered by the Committee.

▲ Return to top

Useful resources
Processing assistance requests
Collaboration with the OACIQ: An essential obligation
Sections 68, 71, 105, 106, 107, 109 of the Regulation respecting brokerage requirements, professional conduct of brokers and advertising.