{"id":164,"date":"2025-12-29T18:31:39","date_gmt":"2025-12-29T18:31:12","guid":{"rendered":"http:\/\/hykaz.net\/compliance\/"},"modified":"2025-12-30T22:23:34","modified_gmt":"2025-12-30T22:23:34","slug":"compliance","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/compliance\/","title":{"rendered":"Conformit\u00e9"},"content":{"rendered":"<p class=\"wp-block-paragraph\">La Division des valeurs mobili\u00e8res de la Commission des valeurs mobili\u00e8res du Manitoba prot\u00e8ge les investisseurs et favorise l\u2019\u00e9quit\u00e9 et l\u2019efficacit\u00e9 des march\u00e9s financiers de la province notamment par l\u2019inscription des intervenants, le traitement des demandes et des prospectus, la pr\u00e9paration des cas \u00e0 soumettre aux commissaires et la r\u00e9alisation d\u2019enqu\u00eates, de poursuites et d\u2019autres formes d\u2019audiences.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">La Commission des valeurs mobili\u00e8res du Manitoba (CVM) proc\u00e8de aussi \u00e0 l\u2019inscription des soci\u00e9t\u00e9s et des personnes physiques comme courtiers en \u00e9pargne collective et courtiers en placement. Ces soci\u00e9t\u00e9s et personnes physiques sont membres de l\u2019organisme d\u2019autor\u00e9glementation (OAR), \u00e0 savoir l\u2019Organisme canadien de r\u00e9glementation des investissements (OCRI), et sont assujetties aux exigences de conformit\u00e9 de l\u2019OAR.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Le personnel de l\u2019unit\u00e9 assure le suivi des soci\u00e9t\u00e9s et des personnes physiques en ce qui concerne leur conformit\u00e9 aux lois en valeurs mobili\u00e8res et \u00e0 leurs r\u00e8glements d\u2019application. Il s\u2019acquitte de cette t\u00e2che notamment par les activit\u00e9s suivantes :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>r\u00e9alisation d\u2019examens complets et d\u2019examens partiels des soci\u00e9t\u00e9s;<\/li>\n\n\n\n<li>suivi des obligations en mati\u00e8re de capital;<\/li>\n\n\n\n<li>participation \u00e0 des examens de conformit\u00e9 cibl\u00e9s concernant des questions particuli\u00e8res;<\/li>\n\n\n\n<li>publication de lignes directrices au moyen d\u2019avis du personnel et de mesures de sensibilisation.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Les soci\u00e9t\u00e9s sont assujetties \u00e0 des examens \u00e0 la fois \u00e0 l\u2019int\u00e9rieur du Manitoba et en coordination avec les autorit\u00e9s de r\u00e9glementation des valeurs mobili\u00e8res d\u2019autres provinces et territoires, qui sont toutes membres des Autorit\u00e9s canadiennes en valeurs mobili\u00e8res (ACVM).<\/p>","protected":false},"excerpt":{"rendered":"<p>Compliance is responsible for the direct oversight of firms and individuals registered in the categories of portfolio manager, investment fund 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