You may have already been asked by a government agency, such as Revenu Québec or the Canada Revenue Agency, to provide access to client files. What should you do if you ever find yourself in that situation?

First and foremost, the request must be made in writing or must come in the form of a warrant. You cannot simply be verbally asked to provide information. In addition, in accordance with the brokers' code of ethics, you must obtain your clients' written authorization prior to disclosing any personal information about them, even if this information is provided to government representatives.

If your client refuses, you have the option of agreeing or refusing to disclose his or her personal information.

If you refuse, you may be required to appear in court via the issuance of a subpoena. The judge may then decide to relieve you of your professional obligations and/or those associated with your code of ethics. In that case, you may provide the requested information.

For further information, please consult section 18 of the law governing personal information: 
AN ACT RESPECTING THE PROTECTION OF PERSONAL INFORMATION IN THE PRIVATE SECTOR