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At CSI, the well-being of our valued learners and staff is our highest priority. Learn more about our response to COVID-19.

Exception Decision Process

What is the Purpose of the Process?

Students seeking an exception to a CSI rule or policy due to specific circumstances can make use of the Exception Decision Process. Rules exception requests must be referred to the Exceptions Assessor.

Rules exception requests must comply with and meet the conditions specified, and satisfy the supporting documentation requirements, as described on the CSI website.

For a Rules Exception to be considered, the applicant must complete and submit the Exception Request Form with applicable fee and supporting documentation, within the required period.

What is the Role of the Exceptions Assessor?

The Exceptions Assessor is appointed by the CSI Managing Director. The Exceptions Assessor is a full-time employee of CSI.

Rules exception requests must be referred to the Exceptions Assessor, who will:

  • Log the request into the student’s file;
  • Review the request for exception to validate if it meets the described conditions and, where applicable, ensure that the supporting documentation requirements are met;
  • Confirm the reception of the request to the student within two (2) business days of receipt of form and payment;
  • Advise the student to expect a response to their request within fifteen (15) business days.

If the Exceptions Assessor determines that the request does not meet the described conditions and/or supporting documentation requirements, this information is communicated to the student. On the other hand, if the Exceptions Assessor determines that the rules exception request complies with the appropriate requirements, the Exceptions Assessor will then make a decision to approve or refuse the request within fifteen (15) business days.

The decision is recorded into the student’s file and communicated to the student by email.

What is the Role of the Rules Exception Hearing Committee?

The Rules Exception Hearing Committee members are appointed by the CSI Managing Director. The committee will consist of a minimum of two CSI senior managers. The Committee’s role is to review student appeals of Exceptions Assessor decisions.

How does the Appeal Process work?

A student can appeal the Exceptions Assessor's decision to the Rules Exception Hearing Committee.

The student must initiate the appeal process by:

  • Sending the Exceptions Assessor a notice of appeal within ten (10) business days of the Exceptions Assessor's communication of the decision refusing the request
  • Sending the appeal request by e-mail or by mail, addressed to the Exceptions Assessor
  • Explaining, in writing, why he or she feels the Exceptions Assessor's decision is incorrect and/or what errors have been made in refusing the request
  • When the Exceptions Assessor receives a notice of appeal, the Exceptions Assessor will:

  • Record the appeal into the student’s file and communicate to the student that the appeal has been received.
  • Prepare all relevant documentation for the Committee
  • Submit the documentation to the Committee members

The Rules Exception Hearing Committee will decide the appeal in private. The student cannot attend the committee meetings nor communicate directly with the Committee members. The Committee's decision will be made within five (5) business days of receipt of the appeal. The Committee can maintain, modify or overturn the original decision. The decision will be communicated to the student by the Exceptions Assessor and will be recorded in the student’s file.

Decisions of the Rules Exception Hearing Committee are final. No further appeals may be made.

What's New

What's New

  • CE Cycle 9
  • CE Tracker Tool
  • Investing in Inflationary Times
  • CE Finder Tool
  • Investment Dealer Supervisors Course (IDSC)

Top Courses

Top Courses

  • Canadian Securities Course (CSC®)
  • Investments Funds In Canada (IFC)
  • Personal Financial Services Advice
  • Wealth Management Essentials
  • Derivatives Fundamentals Course

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