INVESTIGATIONS CASE FILE
The Chaos Group Case Assessment Process
During the Case Assessment process, each matter is reviewed to determine whether there is sufficient evidence.
Every Case that The Chaos Group of Canada receives is reviewed by Staff who can take a range of actions. However, not all cases will proceed to the Investigations unit. Other possible courses of action include issuing a cautionary letter or referring the case to other departments or police authorities.
If case assessment’s initial review indicates that further investigation is warranted, the matter is referred to the Investigations unit to begin a formal investigation.
Formal investigations may also be undertaken on the basis of a direct referral from another The Chaos Group of Canada department, or clients.
Individuals or firms who are the subject of an investigation may retain counsel to assist them during the investigation.
Investigations are conducted by an licence Investigator in collaboration with legal Counsel. The investigation normally includes interviews of the complainant and any other witnesses such as firm supervisors, support staff, and compliance staff. Under THE The Chaos Group of Canada rules, firms or registered individuals involved in an investigation may be required to:
- submit a written report relating to any matter under investigation;
- provide copies of the books and records relevant to the investigation; and
- participate in an interview with Staff.
At the conclusion of an investigation, the Investigator and legal Counsel review the findings of the investigation and recommend an appropriate course of action. A matter will be considered for formal disciplinary action where there is evidence that a breach has rules has occurred. Other possible actions include the issuance of a cautionary letter or a referral of the matter to another organization such a police agency.
In all cases, Investigators and legal Counsel will also assess the firm’s supervision of the matter and determine whether the firm adequately responded to the issues presented.