{"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 la 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 l\u2019OSFM 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 la soci\u00e9t\u00e9, 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\">Le personnel peut \u00e9galement r\u00e9aliser des examens des courtiers en placement et des courtiers en \u00e9pargne collective. Si une soci\u00e9t\u00e9 est inscrite dans plusieurs cat\u00e9gories, elle peut \u00eatre assujettie \u00e0 des examens de conformit\u00e9 \u00e0 la fois par la Commission et par son organisme d\u2019autor\u00e9glementation.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Si une soci\u00e9t\u00e9 inscrite est choisie pour un examen de conformit\u00e9, nous l\u2019en informons habituellement \u00e0 l\u2019avance et lui fournissons une liste des documents et des registres que notre personnel examinera. L\u2019examen comprend une entrevue avec les membres de la haute direction et d\u2019autres employ\u00e9s cl\u00e9s. La dur\u00e9e de l\u2019examen d\u00e9pend de la complexit\u00e9 des activit\u00e9s de la soci\u00e9t\u00e9 et de la nature des constats.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Une fois l\u2019examen termin\u00e9, la haute direction de la soci\u00e9t\u00e9 re\u00e7oit une liste des constats qui d\u00e9crit les lacunes relev\u00e9es et sur laquelle la soci\u00e9t\u00e9 doit indiquer les mesures qu\u2019elle compte prendre pour corriger la situation. Si la soci\u00e9t\u00e9 r\u00e8gle toutes les questions de mani\u00e8re satisfaisante, le dossier est clos. Si les lacunes ne sont pas r\u00e9gl\u00e9es ad\u00e9quatement, nous pouvons prendre des mesures suppl\u00e9mentaires, comme celles-ci :<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>encadrement accru de la soci\u00e9t\u00e9;<\/li>\n\n\n\n<li>examen de suivi;<\/li>\n\n\n\n<li>imposition de conditions;<\/li>\n\n\n\n<li>renvoi de l\u2019affaire au personnel d\u2019ex\u00e9cution.<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">La Commission peut \u00e9galement prendre ces mesures imm\u00e9diatement si un constat est particuli\u00e8rement grave.<\/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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