{"id":200,"date":"2025-12-29T18:59:14","date_gmt":"2025-12-29T18:59:14","guid":{"rendered":"http:\/\/hykaz.net\/securities\/compliance\/compliance-resources\/"},"modified":"2026-10-16T18:55:39","modified_gmt":"2026-10-16T18:55:39","slug":"compliance-resources","status":"publish","type":"page","link":"https:\/\/hykaz.net\/fr\/securities\/compliance\/compliance-resources\/","title":{"rendered":"Ressources en conformit\u00e9"},"content":{"rendered":"<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary><strong>Sensibilisation en mati\u00e8re de conformit\u00e9<\/strong><\/summary>\n<p class=\"wp-block-paragraph\">Nous organisons \u00e0 l\u2019occasion des forums et d\u2019autres \u00e9v\u00e9nements destin\u00e9s aux chefs de la conformit\u00e9 et autres personnes responsables de la conformit\u00e9 dans les soci\u00e9t\u00e9s inscrites. Les soci\u00e9t\u00e9s inscrites sont invit\u00e9es \u00e0 y participer et \u00e0 poser des questions, soulever des pr\u00e9occupations et utiliser l\u2019information fournie comme outil d\u2019auto\u00e9valuation afin de renforcer la conformit\u00e9 et d\u2019am\u00e9liorer les contr\u00f4les internes.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-layout-flow wp-block-details-is-layout-flow\"><summary><strong>Publications, avis du personnel et indications<\/strong><\/summary>\n<p class=\"wp-block-paragraph\">Nous publions p\u00e9riodiquement des avis du personnel, des indications et d\u2019autres documents d\u2019int\u00e9r\u00eat pour les personnes inscrites.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Pour de plus amples renseignements :<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/521130\/index.do\" target=\"_blank\" rel=\"noopener\">Avis conjoint 31 \u2013 363 du personnel des ACVM et de l\u2019OCI - R\u00e9formes ax\u00e9es sur le client : examen des pratiques en mati\u00e8re de conflits d\u2019int\u00e9r\u00eats des personnes inscrites et indications suppl\u00e9mentaires<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102591\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-325 du personnel des ACVM : <em>Pratiques de commercialisation des gestionnaires de portefeuille<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102600\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-334 du personnel des ACVM : <em>Examen par les ACVM des pratiques en mati\u00e8re d\u2019information sur la relation<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102602\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31\u2013336 du personnel des ACVM : <em>Indications \u00e0 l\u2019intention des gestionnaires de portefeuille, des courtiers sur le march\u00e9 dispens\u00e9 et des autres personnes inscrites au sujet des obligations de connaissance du client, de connaissance du produit et d\u2019\u00e9valuation de la convenance au client<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/119965\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-342 du personnel des ACVM : <em>Indications \u00e0 l\u2019intention des gestionnaires de portefeuille relativement aux conseils en ligne<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/126587\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-343 du personnel des ACVM : <em>Conflits d\u2019int\u00e9r\u00eats relatifs au placement de titres d\u2019\u00e9metteurs reli\u00e9s ou associ\u00e9s<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/143476\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-345 du personnel des ACVM : <em>Information sur les co\u00fbts, rapport sur le rendement et relev\u00e9s du client.<\/em><em> Questions fr\u00e9quemment pos\u00e9es et indications suppl\u00e9mentaires<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/182269\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-347 du personnel des ACVM : <em>Indications \u00e0 l\u2019intention des gestionnaires de portefeuille sur les ententes de services conclues avec des courtiers membres de l\u2019OCRCVM<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/231882\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-350 du personnel des ACVM : <em>Indications sur la conformit\u00e9 et les obligations r\u00e9glementaires des petites soci\u00e9t\u00e9s<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/420333\/index.do\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-356 du personnel des ACVM : <em>Indications sur le recours \u00e0 des consultants en conformit\u00e9 par des soci\u00e9t\u00e9s, conform\u00e9ment \u00e0 la d\u00e9cision d\u2019une autorit\u00e9<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph translation-block\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/481910\/index.do?iframe=true\" rel=\"noreferrer noopener\" data-original-outline=\"\" data-original-offset=\"\" data-original-color=\"\" class=\"edac-removed-target-blank\" target=\"_self\" style=\"text-decoration: underline\">Avis 31-358 du personnel des ACVM : <em>Indications et consultation sur les obligations d\u2019inscription des chefs de la conformit\u00e9<\/em><\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/notices\/en\/item\/102639\/index.do\" target=\"_blank\" rel=\"noopener\">Avis 33-315 du personnel des ACVM Obligations d\u2019\u00e9valuation de la convenance au client et de connaissance du produit<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/docs.mbsecurities.ca\/msc\/registration\/en\/item\/236196\/index.do\" target=\"_blank\" rel=\"noopener\">Avis 33-321 du personnel des ACVM : Cybers\u00e9curit\u00e9 et m\u00e9dias sociaux<\/a><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"http:\/\/hykaz.net\/wp-content\/uploads\/Client-Focused-ReformsFAQsDecember2023EN.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">R\u00e9formes ax\u00e9es sur le client \u2013 Questions et r\u00e9ponses \u2013 Autorit\u00e9s canadiennes en valeurs mobili\u00e8res&nbsp;<\/a><\/p>\n<\/details>\n\n\n\n<p 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