{"id":2736,"date":"2022-02-03T20:16:50","date_gmt":"2022-02-03T20:16:50","guid":{"rendered":"https:\/\/cfacanada.org\/?p=2736"},"modified":"2023-03-17T20:18:14","modified_gmt":"2023-03-17T20:18:14","slug":"iiroc-consultation-paper-phase-ii-competency-profiles-for-directors-executives-ultimate-designated-persons-chief-compliance-officers-and-chief-financial-officers","status":"publish","type":"post","link":"https:\/\/cfacanada.org\/fr\/iiroc-consultation-paper-phase-ii-competency-profiles-for-directors-executives-ultimate-designated-persons-chief-compliance-officers-and-chief-financial-officers\/","title":{"rendered":"IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers"},"content":{"rendered":"    <div class=\"hero hero--without-image hero-banner-block alignfull\">\n        <div class=\"hero__wrapper container\">\n            <div class=\"row justify-content-between align-items-center g-0\">\n                <div class=\"d-flex col-12\">\n                    <div class=\"hero__content\">\n                        <h1 class=\"hero__title\">IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers<\/h1>\n                                                                                            <\/div>\n                <\/div>\n                            <\/div>\n        <\/div>\n    <\/div>\n\n\n\n\n\n<h2 class=\"wp-block-heading\">T\u00e9l\u00e9charger le PDF :<\/h2>\n\n\n\n<p><a href=\"http:\/\/cfacanada.org\/wp-content\/uploads\/2023\/01\/IIROC-Consultation-Competency-Profiles-Phase-II.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers<\/a><\/p>\n\n\n\n<div style=\"height:32px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p><\/p>\n\n\n\n<h2 class=\"wp-block-heading\">R\u00e9sum\u00e9 de la lettre :<\/h2>\n\n\n\n<p>Cette consultation constitue la deuxi\u00e8me phase d&rsquo;un projet pluriannuel (jusqu&rsquo;en 2024) visant \u00e0 d\u00e9finir des profils de comp\u00e9tences pour toutes les cat\u00e9gories d&rsquo;inscription de l&rsquo;OCRCVM. Une \u00ab\u00a0comp\u00e9tence\u00a0\u00bb est un ensemble de connaissances, de comportements et d&rsquo;aptitudes qu&rsquo;une personne doit poss\u00e9der pour remplir efficacement son r\u00f4le. L&rsquo;objectif des profils de comp\u00e9tences est de fournir un point de r\u00e9f\u00e9rence pour \u00e9valuer les prestataires de cours, de fournir aux prestataires de formation des conseils sur le contenu des cours et de permettre aux concessionnaires de mieux comprendre les attentes. Les profils propos\u00e9s pour les administrateurs, les dirigeants et les UDP sont similaires et consistent en quatre cat\u00e9gories de comp\u00e9tences de haut niveau li\u00e9es au cadre r\u00e9glementaire g\u00e9n\u00e9ral, \u00e0 la gouvernance d&rsquo;entreprise et \u00e0 l&rsquo;\u00e9thique, aux obligations, responsabilit\u00e9s et d\u00e9fenses, ainsi qu&rsquo;\u00e0 la gestion des risques et \u00e0 la surveillance. Il existe \u00e9galement un certain nombre de sous-comp\u00e9tences, dont quelques-unes s&rsquo;adressent uniquement aux PDU. Outre les comp\u00e9tences g\u00e9n\u00e9rales susmentionn\u00e9es applicables \u00e0 tous les cadres, les CCO seraient soumis \u00e0 cinq cat\u00e9gories suppl\u00e9mentaires de comp\u00e9tences de haut niveau, notamment en ce qui concerne la fonction et les op\u00e9rations de conformit\u00e9, la gestion des risques et les rapports r\u00e9glementaires, les examens, les enqu\u00eates et les actions, ainsi qu&rsquo;\u00e0 douze sous-comp\u00e9tences. Le directeur financier serait soumis au plus grand nombre de profils de comp\u00e9tences, car en plus de ceux qui s&rsquo;appliquent \u00e0 tous les cadres, un CCO serait soumis \u00e0 7 cat\u00e9gories suppl\u00e9mentaires de comp\u00e9tences de haut niveau, notamment en ce qui concerne l&rsquo;ad\u00e9quation des fonds propres, les livres et registres et le reporting, la gestion du risque de cr\u00e9dit et les comptes clients, les stocks, la tarification des titres et la souscription, ainsi que 31 sous-comp\u00e9tences au sein de ces cat\u00e9gories plus vastes.<\/p>\n\n\n\n<p><\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Aper\u00e7u des commentaires du Conseil :<\/h2>\n\n\n\n<p>Le CAC continue de soutenir les efforts visant \u00e0 moderniser les attentes en mati\u00e8re de comp\u00e9tences et les profils de comp\u00e9tences pour toutes les cat\u00e9gories de personnes inscrites, en particulier compte tenu du rythme rapide des changements dans l&rsquo;industrie. Bien que le CAC soit d&rsquo;accord sur l&rsquo;orientation des comp\u00e9tences \u00e9nonc\u00e9es dans la phase II, il manque \u00e0 bon nombre d&rsquo;entre elles des exigences suppl\u00e9mentaires pr\u00e9cises concernant la connaissance des utilisateurs finaux des services d&rsquo;un courtier et le perfectionnement professionnel continu li\u00e9 aux produits et services novateurs, ce que l&rsquo;OCRCVM comprend bien, \u00e0 notre avis, dans le cadre de diff\u00e9rentes fonctions de r\u00e9glementation.<\/p>\n\n\n\n<p>Le CAC craint que certains des profils de comp\u00e9tences ne soient per\u00e7us par certains courtiers membres pour ces cat\u00e9gories comme contenant uniquement des mots cl\u00e9s pour un exercice de \u00a0\u00bb cocher la case \u00a0\u00bb li\u00e9 au renforcement des comp\u00e9tences, plut\u00f4t que comme les \u00e9l\u00e9ments n\u00e9cessaires d&rsquo;une approche plus holistique.<\/p>\n\n\n\n<p>Le CAC est d\u00e9\u00e7u que le cadre ne semble pas contenir beaucoup de consid\u00e9rations prospectives ou li\u00e9es au risque syst\u00e9mique propres \u00e0 ces r\u00f4les et semble envisager une orientation vers le statu quo. Il n&rsquo;y a pas de r\u00e9f\u00e9rence explicite \u00e0 l&rsquo;\u00e9volution en cours des services financiers, comme l&rsquo;innovation qui se produit dans la fintech et les offres de crypto-actifs. En outre, compte tenu de l&rsquo;accent mis par les \u00e9metteurs et les investisseurs sur la diversit\u00e9, l&rsquo;\u00e9quit\u00e9 et l&rsquo;inclusion (collectivement \u00a0\u00bb DEI \u00ab\u00a0), les questions ESG et li\u00e9es au climat, et les questions autochtones (comme une certaine connaissance de l&rsquo;appel \u00e0 l&rsquo;action 92 de la CVR et de la DNUDPA, ainsi que la reconnaissance et les implications l\u00e9gislatives et r\u00e9glementaires qui en d\u00e9coulent), le CAC a \u00e9t\u00e9 surpris que la connaissance de ces d\u00e9veloppements et des d\u00e9veloppements futurs pr\u00e9visibles ne soit pas incluse dans les profils requis.<\/p>\n\n\n\n<p>Le CAC a r\u00e9it\u00e9r\u00e9 le commentaire g\u00e9n\u00e9ral qu&rsquo;il a formul\u00e9 dans sa lettre pr\u00e9c\u00e9dente, \u00e0 savoir que certaines comp\u00e9tences personnelles \u00ab\u00a0non techniques\u00a0\u00bb sont importantes et applicables \u00e0 toutes les cat\u00e9gories d&rsquo;inscription. Le CFA Institute dispose de son propre cadre de comp\u00e9tences qui est utilis\u00e9 pour informer le d\u00e9veloppement professionnel continu et qui, selon nous, pourrait informer le travail de profil de comp\u00e9tences en cours dans le cadre de ce projet. Ces comp\u00e9tences comprennent des \u00e9l\u00e9ments tels que la collaboration, la communication, la curiosit\u00e9 et le leadership, qui pourraient tous \u00eatre pris en compte.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>T\u00e9l\u00e9charger le PDF : IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers R\u00e9sum\u00e9 de la lettre : Cette consultation constitue la deuxi\u00e8me phase d&rsquo;un projet pluriannuel (jusqu&rsquo;en 2024) visant \u00e0 d\u00e9finir des profils de comp\u00e9tences pour toutes les cat\u00e9gories d&rsquo;inscription de l&rsquo;OCRCVM. Une [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"inline_featured_image":false,"footnotes":""},"categories":[111],"tags":[],"class_list":["post-2736","post","type-post","status-publish","format-standard","hentry","category-iiroc-fr"],"acf":[],"featured_image_src":null,"author_info":{"display_name":"Robert Decher","author_link":"https:\/\/cfacanada.org\/fr\/author\/robert\/"},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.3 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers - 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\/2471\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers - CFA Societies Canada\" \/>\n<meta property=\"og:description\" content=\"T\u00e9l\u00e9charger le PDF : IIROC Consultation Paper (Phase II)\u2009- Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers R\u00e9sum\u00e9 de la lettre : Cette consultation constitue la deuxi\u00e8me phase d&rsquo;un projet pluriannuel (jusqu&rsquo;en 2024) visant \u00e0 d\u00e9finir des profils de comp\u00e9tences pour toutes les cat\u00e9gories d&rsquo;inscription de l&rsquo;OCRCVM. 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