{"id":2795,"date":"2023-05-01T18:11:00","date_gmt":"2023-05-01T18:11:00","guid":{"rendered":"https:\/\/cfacanada.org\/?p=2795"},"modified":"2023-06-08T21:16:04","modified_gmt":"2023-06-08T21:16:04","slug":"new-sro-proposal-on-distributing-funds-through-the-new-sro","status":"publish","type":"post","link":"https:\/\/cfacanada.org\/fr\/new-sro-proposal-on-distributing-funds-through-the-new-sro\/","title":{"rendered":"New SRO – Proposal on Distributing Funds through the New SRO"},"content":{"rendered":"
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New SRO – Proposal on Distributing Funds through the New SRO<\/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 – Proposal on Distributing Funds through the New SRO<\/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

La proposition concerne l’incapacit\u00e9 actuelle du nouvel OAR \u00e0 restituer les fonds d\u00e9gorg\u00e9s aux investisseurs qui ont subi une perte, m\u00eame si une proc\u00e9dure disciplinaire a ordonn\u00e9 le d\u00e9gorgement. Le d\u00e9gorgement vise \u00e0 garantir que les d\u00e9fendeurs, jug\u00e9s responsables d’avoir enfreint les exigences r\u00e9glementaires, ne conservent pas les fonds qu’ils ont obtenus (par exemple, des frais incorrects) ou ne b\u00e9n\u00e9ficient pas des pertes \u00e9vit\u00e9es du fait de leur infraction. Sur la base d’une recommandation d’un groupe de travail interne, le nouvel OAR propose d’am\u00e9liorer sa proc\u00e9dure d’application existante (qui comprend d\u00e9j\u00e0 le d\u00e9gorgement et le recouvrement) en y ajoutant un m\u00e9canisme de distribution de ces fonds aux investisseurs l\u00e9s\u00e9s. Selon la proposition, un investisseur \u00e9ligible serait une personne qui a subi une perte financi\u00e8re directe en raison de la contravention donnant lieu au d\u00e9gorgement directement li\u00e9 aux conclusions de l’application. Une cat\u00e9gorie potentielle d’investisseurs serait identifi\u00e9e au stade de l’enqu\u00eate. Une fois la proc\u00e9dure d’ex\u00e9cution achev\u00e9e et les fonds d\u00e9gorg\u00e9s et collect\u00e9s, une notification serait adress\u00e9e \u00e0 tous les investisseurs \u00e9ligibles connus, et les demandeurs devraient choisir de participer dans un d\u00e9lai prescrit et d\u00e9clarer tout recouvrement obtenu par ailleurs. Les demandes de paiement seraient pr\u00e9sent\u00e9es et \u00e9valu\u00e9es par une branche distincte du nouvel OAR. Les investisseurs l\u00e9s\u00e9s ne seraient pas emp\u00each\u00e9s d’intenter des actions civiles ou de chercher \u00e0 \u00eatre indemnis\u00e9s ailleurs pour des pertes r\u00e9sultant du m\u00eame comportement. Les questions sp\u00e9cifiques pos\u00e9es concernent les restrictions propos\u00e9es en mati\u00e8re d’\u00e9ligibilit\u00e9 et le risque de confusion des investisseurs quant \u00e0 leurs possibilit\u00e9s de recours.<\/p>\n\n\n\n

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

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

Le Conseil soutient les mesures qui visent \u00e0 rediriger les gains mal acquis vers les investisseurs l\u00e9s\u00e9s et plaide en faveur d’une analyse co\u00fbt-b\u00e9n\u00e9fice et d’une am\u00e9lioration des r\u00e9sultats pour les investisseurs. Toutefois, nous avons \u00e9mis des doutes sur la n\u00e9cessit\u00e9, l’efficacit\u00e9 et la justification de la politique propos\u00e9e. En outre, nous nous demandons si les avantages de la politique l’emportent sur les co\u00fbts, en citant le succ\u00e8s limit\u00e9 des efforts ant\u00e9rieurs de collecte des ordonnances de d\u00e9gorgement. Nous avons soulign\u00e9 la n\u00e9cessit\u00e9 d’obtenir des d\u00e9tails suppl\u00e9mentaires sur la mise en \u0153uvre du programme, y compris le processus d’adjudication des r\u00e9clamations des investisseurs et l’identit\u00e9 de l’administrateur du programme.<\/p>\n\n\n\n

En outre, nous avons exprim\u00e9 la crainte que les soci\u00e9t\u00e9s membres ne modifient leur comportement en mati\u00e8re d’indemnisation des investisseurs l\u00e9s\u00e9s en raison de la politique propos\u00e9e. Nous nous sommes interrog\u00e9s sur la priorit\u00e9 des r\u00e9clamations lorsqu’une ordonnance de d\u00e9gorgement est rendue en m\u00eame temps qu’une amende r\u00e9glementaire, et nous avons demand\u00e9 si le nouvel OAR poursuivra et devrait poursuivre toutes les ordonnances de d\u00e9gorgement, ind\u00e9pendamment de leur possibilit\u00e9 de recouvrement. Nous avons demand\u00e9 des \u00e9claircissements sur les m\u00e9canismes de distribution des fonds entre les demandeurs et sur l’inclusion de seuils de minimis pour la reconnaissance et le paiement des demandes.<\/p>\n\n\n\n

Le Conseil a \u00e9voqu\u00e9 le risque accru de confusion pour les investisseurs en raison de l’ajout d’un nouveau programme dans le paysage de l’indemnisation des investisseurs et de la r\u00e9solution des litiges. Les investisseurs devront s’orienter vers de multiples options qui pr\u00eatent \u00e0 confusion, au risque d’un chevauchement des proc\u00e9dures et d’une limitation potentielle des demandes d’indemnisation.<\/p>\n","protected":false},"excerpt":{"rendered":"

T\u00e9l\u00e9charger le PDF : New SRO – Proposal on Distributing Funds through the New SRO R\u00e9sum\u00e9 de la lettre : La proposition concerne l’incapacit\u00e9 actuelle du nouvel OAR \u00e0 restituer les fonds d\u00e9gorg\u00e9s aux investisseurs qui ont subi une perte, m\u00eame si une proc\u00e9dure disciplinaire a ordonn\u00e9 le d\u00e9gorgement. Le d\u00e9gorgement vise \u00e0 garantir que […]<\/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":[2],"tags":[],"class_list":["post-2795","post","type-post","status-publish","format-standard","hentry","category-non-classifiee"],"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 - Proposal on Distributing Funds through the New SRO - 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-proposal-on-distributing-funds-through-the-new-sro\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"New SRO - Proposal on Distributing Funds through the New SRO - CFA Societies Canada\" \/>\n<meta property=\"og:description\" content=\"T\u00e9l\u00e9charger le PDF : New SRO – Proposal on Distributing Funds through the New SRO R\u00e9sum\u00e9 de la lettre : La proposition concerne l’incapacit\u00e9 actuelle du nouvel OAR \u00e0 restituer les fonds d\u00e9gorg\u00e9s aux investisseurs qui ont subi une perte, m\u00eame si une proc\u00e9dure disciplinaire a ordonn\u00e9 le d\u00e9gorgement. 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