{"id":196,"date":"2025-12-29T18:59:14","date_gmt":"2025-12-29T18:59:14","guid":{"rendered":"http:\/\/hykaz.net\/securities\/compliance\/ongoing-registrant-requirements\/"},"modified":"2026-04-20T18:26:35","modified_gmt":"2026-04-20T18:26:35","slug":"ongoing-registrant-requirements","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/compliance\/ongoing-registrant-requirements\/","title":{"rendered":"Obligations continues des personnes inscrites"},"content":{"rendered":"<p class=\"wp-block-paragraph\">Les soci\u00e9t\u00e9s inscrites sont assujetties \u00e0 diverses obligations continues. La CVM proc\u00e8de \u00e0 des examens de conformit\u00e9 pour surveiller et \u00e9valuer la conformit\u00e9 des soci\u00e9t\u00e9s aux obligations applicables.<\/p>\n\n\n\n<div data-wp-context=\"{ &quot;autoclose&quot;: true, &quot;accordionItems&quot;: [] }\" data-wp-interactive=\"core\/accordion\" role=\"group\" class=\"wp-block-accordion is-layout-flow wp-block-accordion-is-layout-flow\">\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-1&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-1-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" id=\"accordion-item-1\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">Syst\u00e8me de conformit\u00e9<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div aria-labelledby=\"accordion-item-1\" data-wp-bind--hidden=\"state.isHidden\" data-wp-on--beforematch=\"actions.handleBeforeMatch\" id=\"accordion-item-1-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">La soci\u00e9t\u00e9 inscrite est tenue d\u2019\u00e9tablir, de maintenir et d\u2019appliquer des politiques et proc\u00e9dures instaurant un syst\u00e8me de contr\u00f4les et de supervision (un syst\u00e8me de conformit\u00e9) qui :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>La soci\u00e9t\u00e9 inscrite est tenue d\u2019\u00e9tablir, de maintenir et d\u2019appliquer des politiques et proc\u00e9dures instaurant un syst\u00e8me de contr\u00f4les et de supervision (un syst\u00e8me de conformit\u00e9) qui :<\/li>\n\n\n\n<li>g\u00e8re les risques li\u00e9s \u00e0 son activit\u00e9 conform\u00e9ment aux pratiques commerciales prudentes.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Il incombe \u00e0 chaque soci\u00e9t\u00e9 de choisir le syst\u00e8me de conformit\u00e9 le mieux adapt\u00e9 \u00e0 ses activit\u00e9s. La soci\u00e9t\u00e9 doit tenir compte \u00e0 la fois des obligations l\u00e9gales pr\u00e9cises qu\u2019elle doit respecter ainsi que des obligations fond\u00e9es sur des principes qui guident ses activit\u00e9s et celles des personnes agissant pour son compte.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Pour plus de renseignements :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/521225\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">R\u00e8glement 31-103 <em>sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/em><\/a><\/li>\n\n\n\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/520982\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">Instruction g\u00e9n\u00e9rale relative au R\u00e8glement 31-103 sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-2&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-2-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" id=\"accordion-item-2\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">Conduite des affaires<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div aria-labelledby=\"accordion-item-2\" data-wp-bind--hidden=\"state.isHidden\" data-wp-on--beforematch=\"actions.handleBeforeMatch\" id=\"accordion-item-2-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">En plus des obligations fond\u00e9es sur des principes, les soci\u00e9t\u00e9s et les personnes physiques inscrites sont r\u00e9gies par des obligations pr\u00e9cises en mati\u00e8re de conduite professionnelle pr\u00e9vues dans la Loi sur les valeurs mobili\u00e8res (Manitoba) et la Loi sur les contrats \u00e0 terme de marchandises (Manitoba) ainsi que par des r\u00e8gles et des instruments connexes.&nbsp;<em>Loi sur les valeurs mobili\u00e8res;<\/em>&nbsp;(Manitoba) and&nbsp;<em>Loi sur les contrats \u00e0 terme de marchandises (Manitoba)<\/em>&nbsp;(Manitoba) and related rules and instruments.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">La connaissance du client, la convenance au client, la connaissance du produit, la commercialisation, l\u2019information sur la relation, les politiques et proc\u00e9dures ainsi que le traitement des plaintes sont quelques-uns des exemples d\u2019obligations des soci\u00e9t\u00e9s inscrites en mati\u00e8re de conduite professionnelle.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Pour plus de renseignements :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/521225\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">R\u00e8glement 31-103 <em>sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/em><\/a><\/li>\n\n\n\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/520982\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">Instruction g\u00e9n\u00e9rale relative au R\u00e8glement 31-103 <em>sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/em><\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/web2.gov.mb.ca\/laws\/statutes\/reccsm\/s050e.php\" target=\"_blank\" rel=\"noreferrer noopener\"><em>Loi sur les valeurs mobili\u00e8res;&nbsp;<\/em>(Manitoba)<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/web2.gov.mb.ca\/laws\/statutes\/ccsm\/c152.php\" target=\"_blank\" rel=\"noreferrer noopener\"><em>Loi sur les contrats \u00e0 terme de marchandises (Manitoba)&nbsp;<\/em>(Manitoba)<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-3&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-3-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" id=\"accordion-item-3\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">Obligations financi\u00e8res<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div aria-labelledby=\"accordion-item-3\" data-wp-bind--hidden=\"state.isHidden\" data-wp-on--beforematch=\"actions.handleBeforeMatch\" id=\"accordion-item-3-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">Les soci\u00e9t\u00e9s inscrites ont des obligations financi\u00e8res continues, notamment l\u2019information financi\u00e8re, le maintien d\u2019un fonds de roulement suffisant et la souscription de garanties d\u2019assurance ad\u00e9quates.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Obligations relatives \u00e0 l\u2019information financi\u00e8re<\/strong><br>Au plus tard 90 jours apr\u00e8s la fin de son exercice financier, la soci\u00e9t\u00e9 inscrite doit d\u00e9poser les documents suivants aupr\u00e8s de la CVM :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>ses \u00e9tats financiers annuels audit\u00e9s pour l\u2019exercice;<\/li>\n\n\n\n<li class=\"translation-block\">le formulaire 31-103A1 Calcul de l\u2019exc\u00e9dent du fonds de roulement d\u00fbment rempli pour la fin de l\u2019exercice et la fin de l\u2019exercice pr\u00e9c\u00e9dent.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Si la soci\u00e9t\u00e9 est inscrite comme gestionnaire de fonds d\u2019investissement, elle doit soumettre une description de tout rajustement de la valeur liquidative qui s\u2019est produit durant la p\u00e9riode.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>l\u2019\u00e9tat de la situation financi\u00e8re et l\u2019\u00e9tat du r\u00e9sultat global non audit\u00e9s pour la p\u00e9riode de trois mois;<\/li>\n\n\n\n<li class=\"translation-block\">le formulaire 31-103A1 Calcul de l\u2019exc\u00e9dent du fonds de roulement d\u00fbment rempli pour la fin du trimestre et la fin du trimestre pr\u00e9c\u00e9dent.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Si la soci\u00e9t\u00e9 est inscrite comme gestionnaire de fonds d\u2019investissement, elle doit soumettre une description de tout rajustement de la valeur liquidative qui s\u2019est produit durant la p\u00e9riode.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Tous les \u00e9tats financiers soumis par la soci\u00e9t\u00e9 inscrite doivent \u00eatre dress\u00e9s conform\u00e9ment au R\u00e8glement 52-107 sur les principes comptables et normes d\u2019audit acceptables.&nbsp;<em>Acceptable Accounting Principles and Auditing Standards<\/em>.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Les soci\u00e9t\u00e9s membres de l\u2019OCRI sont dispens\u00e9es des obligations relatives au d\u00e9p\u00f4t de l\u2019information financi\u00e8re ci-dessus sauf si elles sont inscrites dans des cat\u00e9gories multiples, auquel cas les obligations d\u2019information financi\u00e8re indiqu\u00e9es ci-dessus peuvent s\u2019appliquer.<\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><strong> Obligations relatives au fonds de roulement <\/strong> <br>\nLa soci\u00e9t\u00e9 inscrite doit calculer l\u2019exc\u00e9dent de son fonds de roulement \u00e0 l\u2019aide du formulaire 31-103A1 Calcul de l\u2019exc\u00e9dent du fonds de roulement. Elle doit s\u2019assurer que l\u2019exc\u00e9dent de son fonds de roulement n\u2019est pas inf\u00e9rieur \u00e0 z\u00e9ro sur deux jours cons\u00e9cutifs.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Si la soci\u00e9t\u00e9 inscrite affiche une insuffisance de capital, elle doit en informer la CVM d\u00e8s que possible et indiquer comment elle compte corriger la situation.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Obligations relatives \u00e0 l\u2019assurance et au cautionnement<\/strong><br>La soci\u00e9t\u00e9 inscrite doit maintenir un cautionnement ou une assurance qui pr\u00e9voit certaines clauses et garanties. Elle doit informer la CVM imm\u00e9diatement de tout changement \u00e0 son cautionnement ou \u00e0 sa police d\u2019assurance, de toute r\u00e9clamation ou de l\u2019annulation de son cautionnement ou de son assurance.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Pour plus de renseignements :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/521225\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">Instruction g\u00e9n\u00e9rale relative au R\u00e8glement 31-103 <em>sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/em><\/a><\/li>\n\n\n\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/520982\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">Instruction g\u00e9n\u00e9rale relative au R\u00e8glement 31-103 sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/a><\/li>\n\n\n\n<li class=\"translation-block\"><a href=\"\/fr\/blank\/\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" style=\"text-decoration: underline\" target=\"_self\">Formulaire 31-103A1 <\/a><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/521106\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\"><em>Calcul de l\u2019exc\u00e9dent du fonds de roulement<\/em><\/a><\/li>\n\n\n\n<li class=\"translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/anirp\/en\/item\/102068\/index.do\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" style=\"text-decoration: underline\" target=\"_self\">R\u00e8glement 52-107 sur les principes comptables et normes d\u2019audit acceptables<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-4&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-4-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" id=\"accordion-item-4\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">Obligations additionnelles<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div aria-labelledby=\"accordion-item-4\" data-wp-bind--hidden=\"state.isHidden\" data-wp-on--beforematch=\"actions.handleBeforeMatch\" id=\"accordion-item-4-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph translation-block\">Obligations de d\u00e9claration mensuelle relatives \u00e0 la lutte contre le terrorisme et aux sanctions impos\u00e9es par le Canada\nEn vertu des lois f\u00e9d\u00e9rales, les personnes inscrites, les courtiers internationaux dispens\u00e9s et les conseillers internationaux dispens\u00e9s ont certaines obligations de soumettre des rapports mensuels particuliers concernant le financement du terrorisme et les sanctions impos\u00e9es par les Nations Unies dans certains pays au principal organisme de r\u00e9glementation ou \u00e0 l\u2019organisme qui supervise ou r\u00e9git la personne inscrite ou la soci\u00e9t\u00e9 internationale dispens\u00e9e en vertu des lois provinciales sur les valeurs mobili\u00e8res.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">On trouvera de plus amples renseignements sur ces lois et les obligations de d\u00e9claration dans l\u2019Avis 31-352 du personnel de la ACVM : Obligations de d\u00e9claration mensuelle relatives \u00e0 la lutte contre le terrorisme et aux sanctions impos\u00e9es par le Canada..<a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/306522\/index.do\" target=\"_blank\" rel=\"noreferrer noopener\">&nbsp;CSA Staff Notice 31-352&nbsp;<em>Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations<\/em><\/a>.<\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\">\u00c9tant donn\u00e9 que des exigences f\u00e9d\u00e9rales en mati\u00e8re de d\u00e9claration peuvent \u00eatre ajout\u00e9es, modifi\u00e9es ou abrog\u00e9es \u00e0 tout moment, les participants au march\u00e9 sont invit\u00e9s \u00e0 consulter le Guide des ACVM sur les obligations de d\u00e9claration relatives \u00e0 la lutte contre le terrorisme et aux sanctions impos\u00e9es par le Canada. Ce guide comprend une liste des dispositions l\u00e9gislatives courantes en mati\u00e8re de d\u00e9claration f\u00e9d\u00e9rale.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Membres d\u2019un organisme d\u2019autor\u00e9glementation<\/strong><br>La soci\u00e9t\u00e9 inscrite comme courtier en placement ou courtier en \u00e9pargne collective doit \u00eatre membre d\u2019un organisme d\u2019autor\u00e9glementation (OAR). Les soci\u00e9t\u00e9s et les repr\u00e9sentants de courtiers membres d\u2019un OAR sont dispens\u00e9s de certaines obligations \u00e9tant donn\u00e9 que les OAR ont leurs propres r\u00e8gles. Ces dispenses sont indiqu\u00e9es dans le R\u00e8glement 31-103.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><strong>Soci\u00e9t\u00e9s inscrites dans plusieurs cat\u00e9gories<\/strong><br>En r\u00e8gle g\u00e9n\u00e9rale, une soci\u00e9t\u00e9 qui a des activit\u00e9s de plusieurs types exigeant une inscription doit s\u2019inscrire dans chaque cat\u00e9gorie applicable. Elle doit se conformer aux obligations de toutes les cat\u00e9gories dans lesquelles elle est inscrite.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Si la soci\u00e9t\u00e9 est inscrite dans plusieurs cat\u00e9gories, elle doit respecter les obligations les plus strictes de ces cat\u00e9gories d\u2019inscription. Si elle est membre d\u2019un OAR et qu\u2019elle est inscrite dans plusieurs cat\u00e9gories, les obligations relatives \u00e0 l\u2019information financi\u00e8re de l\u2019OAR et de la CVM peuvent toutes deux s\u2019appliquer. Les membres de l\u2019OCRI devraient consulter les r\u00e8gles applicables de leur OAR afin de d\u00e9terminer les obligations d\u2019information financi\u00e8re auxquelles ils sont assujettis.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Pour plus de renseignements :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.ciro.ca\/\" target=\"_blank\" rel=\"noreferrer noopener\">Organisme canadien de r\u00e9glementation des investissements (OCRI)]<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/521225\/index.do\" target=\"_blank\" rel=\"noreferrer noopener\">R\u00e8glement 31-103 sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/ucv\/en\/item\/520982\/index.do\" target=\"_blank\" rel=\"noreferrer noopener\">Instruction g\u00e9n\u00e9rale relative au R\u00e8glement 31-103 sur les obligations et dispenses d\u2019inscription et les obligations continues des personnes inscrites<\/a><\/li>\n<\/ul>\n<\/div>\n<\/div>\n<\/div>","protected":false},"excerpt":{"rendered":"<p>Registered firms have various ongoing requirements. 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