ARTICLE · 20 AUGUST 2020

Publication Du Rapport D'inspection De L'OCRCVM

Stikeman Elliott LLP

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Les Autorités canadiennes en valeurs mobilières (ACVM) ont publié le 5 août 2020 le rapport d'inspection (l'inspection) de l'Organisme canadien de réglementation du commerce des valeurs mobilières

CanadaCorporate/Commercial Law

Stikeman Elliott LLP

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Les Autorités canadiennes en valeurs mobilières (ACVM) ont publié le 5 août 2020 le rapport d'inspection (l'inspection) de l'Organisme canadien de réglementation du commerce des valeurs mobilières (OCRCVM). L'inspection annuelle fondée sur les risques vise à évaluer si certains processus réglementaires sont efficaces, efficients et appliqués de manière cohérente et équitable.

Portée de l'inspection

L'inspection a essentiellement porté sur deux secteurs de la fonction de mise en application de l'OCRCVM :

les fonctionnalités du nouveau système de gestion intégrée des dossiers,
les critères écrits visant à indiquer aux formations d'instruction les situations dans lesquelles une audience à huis clos est nécessaire.

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