{"id":2700,"date":"2023-03-07T14:22:41","date_gmt":"2023-03-07T14:22:41","guid":{"rendered":"https:\/\/cfacanada.org\/?p=2700"},"modified":"2023-03-29T20:18:01","modified_gmt":"2023-03-29T20:18:01","slug":"new-sro-iiroc-review-of-the-iiroc-arbitration-program","status":"publish","type":"post","link":"https:\/\/cfacanada.org\/fr\/new-sro-iiroc-review-of-the-iiroc-arbitration-program\/","title":{"rendered":"New SRO (IIROC) – Review of the IIROC Arbitration Program"},"content":{"rendered":"
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New SRO (IIROC) – Review of the IIROC Arbitration Program <\/h1>\n <\/div>\n <\/div>\n <\/div>\n <\/div>\n <\/div>\n\n\n\n\n\n

T\u00e9l\u00e9charger le PDF :<\/h2>\n\n\n\n

New SRO (IIROC) – Review of the IIROC Arbitration Program<\/a><\/p>\n\n\n\n

<\/div>\n\n\n\n

<\/p>\n\n\n\n

R\u00e9sum\u00e9 de la lettre :<\/h2>\n\n\n\n

L’OCRCVM proc\u00e8de actuellement \u00e0 une r\u00e9vision de son programme d’arbitrage (dont la derni\u00e8re r\u00e9vision remonte \u00e0 2011), qui exige que les courtiers participent \u00e0 un arbitrage ex\u00e9cutoire \u00e0 la demande d’un client. La consultation fait suite \u00e0 17 recommandations formul\u00e9es par un groupe de travail ind\u00e9pendant, qui vont des changements qui peuvent \u00eatre mis en place imm\u00e9diatement \u00e0 ceux qui n\u00e9cessiteront une nouvelle consultation publique. L’OCRCVM propose de maintenir le programme parall\u00e8lement aux services de r\u00e8glement des diff\u00e9rends de l’OSBI et \u00e0 la disponibilit\u00e9 des litiges comme voies de recours pour les clients. Comme le programme d’arbitrage se veut une solution de rechange aux litiges et qu’il est ax\u00e9 sur les r\u00e9clamations complexes et importantes, l’OCRCVM envisage de n’offrir le programme que pour les r\u00e9clamations d\u00e9passant le seuil de r\u00e9clamation de l’OSBI (sauf au Qu\u00e9bec). Les recommandations pour une mise en \u0153uvre imm\u00e9diate comprennent la r\u00e9vision des documents du programme afin d’utiliser un langage simple et d’accro\u00eetre la sensibilisation du public au programme, ainsi que de permettre aux parties de choisir leur propre arbitre et d’\u00e9tablir des d\u00e9lais plus courts pour le r\u00e8glement de certaines affaires. Un programme pilote est sugg\u00e9r\u00e9 pour certaines modifications de proc\u00e9dure, notamment la gestion des dossiers et la m\u00e9diation obligatoire. Une consultation publique est sugg\u00e9r\u00e9e pour des points tels que la publication potentielle des d\u00e9cisions d’arbitrage et l’augmentation du plafond des sentences arbitrales.<\/p>\n\n\n\n

<\/p>\n\n\n\n

Aper\u00e7u des commentaires du Conseil :<\/h2>\n\n\n\n

Le Conseil a fourni des commentaires g\u00e9n\u00e9raux sur la consultation concernant le programme d’arbitrage de l’OCRCVM. Le Conseil est g\u00e9n\u00e9ralement favorable aux recommandations formul\u00e9es, notamment en ce qui concerne<\/p>\n\n\n\n

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  • une plus grande transparence sur le fonctionnement du programme \u00e0 l’avenir, y compris l’accessibilit\u00e9, les co\u00fbts et les proc\u00e9dures.<\/li>\n\n\n\n
  • une plus grande transparence sur la mise en \u0153uvre du programme permettrait de s’assurer qu’il remplit son objectif<\/li>\n\n\n\n
  • la disponibilit\u00e9 des donn\u00e9es utilis\u00e9es pour formuler les recommandations du groupe de travail.<\/li>\n\n\n\n
  • des rapports publics r\u00e9guliers sur le nombre de demandes relevant de chacun des niveaux.<\/li>\n\n\n\n
  • un rapport annuel sur le fonctionnement du programme, ainsi qu’une p\u00e9riode d’examen standard institu\u00e9e pour le programme, de mani\u00e8re \u00e0 ce que les \u00e9valuations puissent \u00eatre effectu\u00e9es r\u00e9guli\u00e8rement et non de mani\u00e8re ponctuelle.<\/li>\n<\/ul>\n\n\n\n

    Le Conseil est favorable \u00e0 la plus grande transparence concernant la liste des arbitres propos\u00e9e dans les recommandations du groupe de travail. Il note \u00e9galement que le d\u00e9lai de prescription de deux ans se situe \u00e0 l’extr\u00e9mit\u00e9 inf\u00e9rieure d’un large \u00e9ventail de d\u00e9lais de prescription en vigueur au Canada. De plus, le Conseil sugg\u00e8re qu’un nouvel examen du Programme pourrait s’av\u00e9rer n\u00e9cessaire si l’OSBI re\u00e7oit un pouvoir ex\u00e9cutoire.<\/p>\n","protected":false},"excerpt":{"rendered":"

    T\u00e9l\u00e9charger le PDF : New SRO (IIROC) – Review of the IIROC Arbitration Program R\u00e9sum\u00e9 de la lettre : L’OCRCVM proc\u00e8de actuellement \u00e0 une r\u00e9vision de son programme d’arbitrage (dont la derni\u00e8re r\u00e9vision remonte \u00e0 2011), qui exige que les courtiers participent \u00e0 un arbitrage ex\u00e9cutoire \u00e0 la demande d’un client. La consultation fait suite […]<\/p>\n","protected":false},"author":8,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"categories":[123],"tags":[],"class_list":["post-2700","post","type-post","status-publish","format-standard","hentry","category-new-self-regulatory-organization-of-canada-new-sro-fr"],"acf":[],"featured_image_src":null,"author_info":{"display_name":"clloyd@cfacanada.org","author_link":"https:\/\/cfacanada.org\/fr\/author\/clloydcfacanada-org\/"},"yoast_head":"\nNew SRO (IIROC) - Review of the IIROC Arbitration Program - CFA Societies Canada<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/cfacanada.org\/fr\/new-sro-iiroc-review-of-the-iiroc-arbitration-program\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"New SRO (IIROC) - Review of the IIROC Arbitration Program - CFA Societies Canada\" \/>\n<meta property=\"og:description\" content=\"T\u00e9l\u00e9charger le PDF : New SRO (IIROC) – Review of the IIROC Arbitration Program R\u00e9sum\u00e9 de la lettre : L’OCRCVM proc\u00e8de actuellement \u00e0 une r\u00e9vision de son programme d’arbitrage (dont la derni\u00e8re r\u00e9vision remonte \u00e0 2011), qui exige que les courtiers participent \u00e0 un arbitrage ex\u00e9cutoire \u00e0 la demande d’un client. 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