{"id":3111,"date":"2023-12-18T15:12:00","date_gmt":"2023-12-18T15:12:00","guid":{"rendered":"https:\/\/cfacanada.org\/?p=3111"},"modified":"2025-07-24T09:25:05","modified_gmt":"2025-07-24T13:25:05","slug":"ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1","status":"publish","type":"post","link":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/","title":{"rendered":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1"},"content":{"rendered":"
\n
\n
\n
\n
\n

CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013 Rule Consolidation Project \u2013 Phase 1<\/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

CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1<\/a><\/p>\n\n\n\n

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

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

L’Organisme canadien de r\u00e9glementation des placements (OCRCVM) publie pour commentaires la phase 1 des propositions de r\u00e8gles de son Projet de consolidation des r\u00e8gles. Le projet de consolidation des r\u00e8gles regroupera les deux ensembles de r\u00e8gles actuellement applicables aux courtiers en valeurs mobili\u00e8res et aux courtiers en \u00e9pargne collective en un seul ensemble de r\u00e8gles applicables aux deux cat\u00e9gories de courtiers membres de l’OCRCVM.<\/p>\n\n\n\n

L’objectif de la phase 1 du projet de regroupement des r\u00e8gles (phase 1 des r\u00e8gles propos\u00e9es pour les courtiers en valeurs mobili\u00e8res) est d’\u00e9tablir un cadre pour l’\u00e9laboration de r\u00e8gles regroup\u00e9es qui s’appliqueront \u00e0 tous les courtiers membres de l’OCRCVM. Les r\u00e8gles consolid\u00e9es s’appliqueront \u00e0 tous les courtiers membres de l’OCRCVM. Les r\u00e8gles consolid\u00e9es s’appelleront les r\u00e8gles des courtiers membres de l’OCRCVM et les r\u00e8gles consolid\u00e9es (CD).<\/p>\n\n\n\n

Les r\u00e8gles propos\u00e9es pour les courtiers en valeurs mobili\u00e8res de la phase 1 \u00e9tablissent la structure des r\u00e8gles pour les courtiers en valeurs mobili\u00e8res, ce qui implique l’adoption des \u00e9l\u00e9ments suivants<\/p>\n\n\n\n

    \n
  • des dispositions relatives \u00e0 l’interpr\u00e9tation des r\u00e8gles<\/li>\n\n\n\n
  • des d\u00e9finitions d’application commune \u00e0 l’ensemble des r\u00e8gles<\/li>\n\n\n\n
  • des dispositions relatives \u00e0 l’exemption des r\u00e8gles, et<\/li>\n\n\n\n
  • des normes de conduite g\u00e9n\u00e9rales applicables \u00e0 toutes les activit\u00e9s du courtier, de ses employ\u00e9s et des personnes approuv\u00e9es.<\/li>\n<\/ul>\n\n\n\n

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

    L’Organisme canadien de r\u00e9glementation des investissements (OCRI) publie pour commentaires la phase 1 de ses propositions de r\u00e8gles du projet de consolidation des r\u00e8gles. Le projet de consolidation des r\u00e8gles regroupera les ensembles de r\u00e8gles de r\u00e9glementation des deux membres actuellement applicables aux courtiers en valeurs mobili\u00e8res et aux courtiers en fonds communs de placement en un seul ensemble de r\u00e8gles de r\u00e9glementation des membres applicables aux deux cat\u00e9gories de courtiers membres du CIRO. <\/p>\n\n\n\n

    Nous reconnaissons le d\u00e9fi auquel le CIRO est confront\u00e9 dans ce projet de consolidation et avons constat\u00e9 l’engagement ferme du CIRO en faveur de la transparence des processus, des d\u00e9lais clairs et de l’engagement avec les parties prenantes, ainsi que de l’attention port\u00e9e aux d\u00e9tails en ce qui concerne la r\u00e9daction des pr\u00e9occupations, \u00eatre particuli\u00e8rement louable. Nous sommes g\u00e9n\u00e9ralement favorables \u00e0 toute technique de r\u00e9daction susceptible d’aider le lecteur et, \u00e0 ce titre, nous sommes favorables \u00e0 l’utilisation de la forme positive lorsque cela est possible. Nous sommes \u00e9galement g\u00e9n\u00e9ralement favorables aux efforts d\u2019harmonisation qui conduisent \u00e0 de meilleurs r\u00e9sultats pour les clients, qui mettent l\u2019accent sur le choix du client et qui s\u2019adaptent \u00e0 une vari\u00e9t\u00e9 de mod\u00e8les commerciaux de courtiers, \u00e0 condition que la protection des investisseurs ne soit pas compromise.<\/p>\n","protected":false},"excerpt":{"rendered":"

    T\u00e9l\u00e9charger le PDF : CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 R\u00e9sum\u00e9 de la lettre : L’Organisme canadien de r\u00e9glementation des placements (OCRCVM) publie pour commentaires la phase 1 des propositions de r\u00e8gles de son Projet de consolidation des r\u00e8gles. Le projet de […]<\/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":[128],"tags":[],"class_list":["post-3111","post","type-post","status-publish","format-standard","hentry","category-canadian-investment-regulatory-organization-ciro-fr"],"acf":[],"featured_image_src":null,"author_info":{"display_name":"clloyd@cfacanada.org","author_link":"https:\/\/cfacanada.org\/fr\/author\/clloydcfacanada-org\/"},"yoast_head":"\nCIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada<\/title>\n<meta name=\"description\" content=\"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1\" \/>\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\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada\" \/>\n<meta property=\"og:description\" content=\"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1\" \/>\n<meta property=\"og:url\" content=\"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/\" \/>\n<meta property=\"og:site_name\" content=\"CFA Societies Canada\" \/>\n<meta property=\"article:published_time\" content=\"2023-12-18T15:12:00+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2025-07-24T13:25:05+00:00\" \/>\n<meta name=\"author\" content=\"clloyd@cfacanada.org\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"\u00c9crit par\" \/>\n\t<meta name=\"twitter:data1\" content=\"clloyd@cfacanada.org\" \/>\n\t<meta name=\"twitter:label2\" content=\"Dur\u00e9e de lecture estim\u00e9e\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/\"},\"author\":{\"name\":\"clloyd@cfacanada.org\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#\\\/schema\\\/person\\\/bfb8c441f84b1651d6d5ad4a42a07022\"},\"headline\":\"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1\",\"datePublished\":\"2023-12-18T15:12:00+00:00\",\"dateModified\":\"2025-07-24T13:25:05+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/\"},\"wordCount\":525,\"articleSection\":[\"L\u2019Organisme canadien de r\u00e9glementation des investissements (OCRI)\"],\"inLanguage\":\"fr-FR\"},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/\",\"url\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/\",\"name\":\"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#website\"},\"datePublished\":\"2023-12-18T15:12:00+00:00\",\"dateModified\":\"2025-07-24T13:25:05+00:00\",\"author\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#\\\/schema\\\/person\\\/bfb8c441f84b1651d6d5ad4a42a07022\"},\"description\":\"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1\",\"breadcrumb\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/#breadcrumb\"},\"inLanguage\":\"fr-FR\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/\"]}]},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\\\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#website\",\"url\":\"https:\\\/\\\/cfacanada.org\\\/\",\"name\":\"CFA Societies Canada\",\"description\":\"Canadian investment values\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\\\/\\\/cfacanada.org\\\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"fr-FR\"},{\"@type\":\"Person\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#\\\/schema\\\/person\\\/bfb8c441f84b1651d6d5ad4a42a07022\",\"name\":\"clloyd@cfacanada.org\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"fr-FR\",\"@id\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g\",\"url\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g\",\"contentUrl\":\"https:\\\/\\\/secure.gravatar.com\\\/avatar\\\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g\",\"caption\":\"clloyd@cfacanada.org\"},\"url\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/author\\\/clloydcfacanada-org\\\/\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada","description":"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/","og_locale":"fr_FR","og_type":"article","og_title":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada","og_description":"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1","og_url":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/","og_site_name":"CFA Societies Canada","article_published_time":"2023-12-18T15:12:00+00:00","article_modified_time":"2025-07-24T13:25:05+00:00","author":"clloyd@cfacanada.org","twitter_card":"summary_large_image","twitter_misc":{"\u00c9crit par":"clloyd@cfacanada.org","Dur\u00e9e de lecture estim\u00e9e":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/#article","isPartOf":{"@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/"},"author":{"name":"clloyd@cfacanada.org","@id":"https:\/\/cfacanada.org\/#\/schema\/person\/bfb8c441f84b1651d6d5ad4a42a07022"},"headline":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1","datePublished":"2023-12-18T15:12:00+00:00","dateModified":"2025-07-24T13:25:05+00:00","mainEntityOfPage":{"@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/"},"wordCount":525,"articleSection":["L\u2019Organisme canadien de r\u00e9glementation des investissements (OCRI)"],"inLanguage":"fr-FR"},{"@type":"WebPage","@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/","url":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/","name":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1 - CFA Societies Canada","isPartOf":{"@id":"https:\/\/cfacanada.org\/#website"},"datePublished":"2023-12-18T15:12:00+00:00","dateModified":"2025-07-24T13:25:05+00:00","author":{"@id":"https:\/\/cfacanada.org\/#\/schema\/person\/bfb8c441f84b1651d6d5ad4a42a07022"},"description":"The CAC's response to CIRO - DC Rules \u2013Rule Consolidation Project \u2013 Phase 1","breadcrumb":{"@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/#breadcrumb"},"inLanguage":"fr-FR","potentialAction":[{"@type":"ReadAction","target":["https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-23-0147-rules-bulletin-request-for-comments-dc-rules-rule-consolidation-project-phase-1\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/cfacanada.org\/fr\/"},{"@type":"ListItem","position":2,"name":"CIRO Bulletin 23-0147 \u2013 Rules Bulletin \u2013 Request for Comments \u2013 DC Rules \u2013Rule Consolidation Project \u2013 Phase 1"}]},{"@type":"WebSite","@id":"https:\/\/cfacanada.org\/#website","url":"https:\/\/cfacanada.org\/","name":"CFA Societies Canada","description":"Canadian investment values","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/cfacanada.org\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"fr-FR"},{"@type":"Person","@id":"https:\/\/cfacanada.org\/#\/schema\/person\/bfb8c441f84b1651d6d5ad4a42a07022","name":"clloyd@cfacanada.org","image":{"@type":"ImageObject","inLanguage":"fr-FR","@id":"https:\/\/secure.gravatar.com\/avatar\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/e8c4597d4b4bbce08289f65553ecd58f67134726de8e338b57dada62dc12fcea?s=96&d=mm&r=g","caption":"clloyd@cfacanada.org"},"url":"https:\/\/cfacanada.org\/fr\/author\/clloydcfacanada-org\/"}]}},"_links":{"self":[{"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/posts\/3111","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/users\/8"}],"replies":[{"embeddable":true,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/comments?post=3111"}],"version-history":[{"count":1,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/posts\/3111\/revisions"}],"predecessor-version":[{"id":4380,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/posts\/3111\/revisions\/4380"}],"wp:attachment":[{"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/media?parent=3111"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/categories?post=3111"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/cfacanada.org\/fr\/wp-json\/wp\/v2\/tags?post=3111"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}