{"id":198,"date":"2025-12-29T18:59:14","date_gmt":"2025-12-29T18:59:14","guid":{"rendered":"http:\/\/hykaz.net\/securities\/compliance\/compliance-reviews\/"},"modified":"2026-01-05T18:19:56","modified_gmt":"2026-01-05T18:19:56","slug":"compliance-reviews","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/compliance\/compliance-reviews\/","title":{"rendered":"Examens de conformit\u00e9"},"content":{"rendered":"<p class=\"wp-block-paragraph\">Le personnel de l\u2019unit\u00e9 Conformit\u00e9 peut proc\u00e9der \u00e0 des examens des personnes inscrites, dont les gestionnaires de portefeuille, les courtiers sur le march\u00e9 dispens\u00e9, les gestionnaires de fonds d\u2019investissement et les courtiers en plans de bourses d\u2019\u00e9tudes inscrits au Manitoba, afin de d\u00e9terminer si une soci\u00e9t\u00e9 inscrite se conforme \u00e0 la l\u00e9gislation sur les valeurs mobili\u00e8res. Un tel pouvoir, \u00e9nonc\u00e9 au paragraphe 35(1) de la Loi sur les valeurs mobili\u00e8res (Manitoba), nous autorise \u00e0 examiner toutes les activit\u00e9s d\u2019une personne inscrite.&nbsp;<em>Loi sur les valeurs mobili\u00e8res;<\/em>&nbsp;(Manitoba), which gives us the ability to review all of a registrant\u2019s operations.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Nous utilisons une approche fond\u00e9e sur le risque pour s\u00e9lectionner les soci\u00e9t\u00e9s qui feront l\u2019objet d\u2019un examen de conformit\u00e9. La soci\u00e9t\u00e9 inscrite peut \u00e9galement faire l\u2019objet d\u2019un examen par suite d\u2019une recommandation d\u2019un autre service de la CVM ou d\u2019un autre organisme de r\u00e9glementation, ou encore si des plaintes sont re\u00e7ues \u00e0 son sujet.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">L\u2019examen peut \u00eatre complet, c\u2019est-\u00e0-dire qu\u2019il porte sur les principaux secteurs fonctionnels des activit\u00e9s de l\u2019entreprise, ou partiel, c\u2019est-\u00e0-dire qu\u2019il se concentre sur une question particuli\u00e8re. Au cours de la premi\u00e8re ann\u00e9e suivant leur inscription, nous proc\u00e9dons \u00e9galement \u00e0 un examen de haut niveau des soci\u00e9t\u00e9s nouvellement inscrites.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Staff may also conduct reviews of investment dealers and mutual fund dealers. If a firm is registered in multiple categories, it may be subject to compliance reviews by both the MSC and the firm\u2019s self-regulatory organization.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">If a registered firm is selected for a compliance review, we will typically provide advance notification and will provide a list of books and records that our staff will examine during the review. The review will include an interview with the firm\u2019s senior management and other key employees. The duration of the review depends on the complexity of the firm\u2019s operations and the nature of the findings.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Once the review is complete, the firm\u2019s senior management will receive a schedule of findings, which outlines deficiencies found during the review and asks the firm to indicate its course of action to correct those deficiencies. If the firm addresses all issues satisfactorily, the file will be closed. If the firm does not adequately address the deficiencies, we may take further action, such as:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>increasing oversight of the firm<\/li>\n\n\n\n<li>conducting a follow-up review<\/li>\n\n\n\n<li>imposing terms and conditions<\/li>\n\n\n\n<li>referring the matter to enforcement<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">The MSC may take these steps immediately if a finding is particularly serious.<\/p>","protected":false},"excerpt":{"rendered":"<p>Compliance staff have the authority to conduct reviews of registrants, including portfolio managers, exempt market dealers, investment fund managers, and 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