{"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":"Compliance"},"content":{"rendered":"<p class=\"wp-block-paragraph\">Compliance is responsible for the direct oversight of firms and individuals registered in the categories of portfolio manager, investment fund manager, exempt market dealer and scholarship plan dealer.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">The Manitoba Securities Commission (MSC) also registers firms and individuals as mutual fund dealers and investment dealers. These firms and individuals are members of the self-regulatory organization (SRO)\u2014 Canadian Investment Regulatory Organization (CIRO). They are subject to the compliance requirements of the SRO.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Compliance staff monitor firms and individuals for ongoing compliance with securities laws and regulations. They do this through activities such as:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>conducting both full-scope and limited-scope reviews of firms<\/li>\n\n\n\n<li>monitoring capital requirements<\/li>\n\n\n\n<li>participating in \u201csweep reviews\u201d of targeted areas of concern<\/li>\n\n\n\n<li>providing guidance through staff notices and outreach<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Firms are reviewed both within Manitoba and in coordination with securities regulators in other provinces and territories, which are all members of the Canadian Securities Administrators (CSA).<\/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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