{"id":4848,"date":"2026-06-23T14:20:38","date_gmt":"2026-06-23T18:20:38","guid":{"rendered":"https:\/\/cfacanada.org\/ciro-bulletin-26-0039-rule-consolidation-project\/"},"modified":"2026-06-23T15:17:21","modified_gmt":"2026-06-23T19:17:21","slug":"ciro-bulletin-26-0039-rule-consolidation-project","status":"publish","type":"post","link":"https:\/\/cfacanada.org\/fr\/ciro-bulletin-26-0039-rule-consolidation-project\/","title":{"rendered":"Bulletin OCRI 26-0039 &#8211; Projet de regroupement des r\u00e8gles"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n    <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\">Bulletin OCRI 26-0039 &#8211; Projet de regroupement des r\u00e8gles<\/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 class=\"wp-block-paragraph\"><a href=\"https:\/\/cfacanada.org\/wp-content\/uploads\/2026\/06\/CIRO-26-0039-Rule-Consolidation-Project-Proposed-CIRO-Rules.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Bulletin OCRI 26-0039 &#8211; Projet de regroupement des r\u00e8gles<\/a><\/p>\n\n\n\n<div style=\"height:32px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\">R\u00e9sum\u00e9 de la lettre :<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">La OCRI sollicite des commentaires sur la phase 6 de son projet de consolidation des r\u00e8gles, qui vise \u00e0 regrouper les r\u00e8gles applicables aux courtiers en valeurs mobili\u00e8res et aux courtiers en fonds communs de placement au sein d\u2019un recueil de r\u00e8gles harmonis\u00e9, qui sera connu sous le nom de \u00ab R\u00e8gles de la OCRI \u00bb. Les modifications propos\u00e9es ont pour objectif de r\u00e9duire l\u2019arbitrage r\u00e9glementaire, d\u2019am\u00e9liorer la clart\u00e9 et de cr\u00e9er des exigences plus \u00e9volutives et fond\u00e9es sur des principes, applicables \u00e0 l\u2019ensemble des mod\u00e8les \u00e9conomiques des courtiers.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Parmi les principales mises \u00e0 jour figurent des r\u00e9visions concernant les exigences en mati\u00e8re de comp\u00e9tences, le traitement des r\u00e9clamations, la d\u00e9claration des incidents de cybers\u00e9curit\u00e9, la transmission \u00e9lectronique des documents destin\u00e9s aux clients, la d\u00e9claration au moyen du formulaire 1 et les d\u00e9lais de mise en \u0153uvre.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Aper\u00e7u des observations du Conseil :<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Le CAC a apport\u00e9 son soutien au projet de consolidation des r\u00e8gles de l\u2019OCRI et \u00e0 son initiative visant \u00e0 mettre en place une r\u00e9glementation harmonis\u00e9e et fond\u00e9e sur des principes pour l\u2019ensemble des courtiers en valeurs mobili\u00e8res et des courtiers en fonds communs de placement. Sa principale pr\u00e9occupation \u00e9tait que les exigences de la r\u00e8gle 3700 en mati\u00e8re de d\u00e9claration, d\u2019enqu\u00eate et de traitement des plaintes risquaient d\u2019\u00eatre appliqu\u00e9es de mani\u00e8re incoh\u00e9rente, \u00e0 moins que l\u2019OCRI ne publie des directives d\u2019interpr\u00e9tation avant ou au moment de l\u2019entr\u00e9e en vigueur des r\u00e8gles. Le CAC a soutenu les exigences de comp\u00e9tence des superviseurs fond\u00e9es sur les aptitudes et n\u2019a pas identifi\u00e9 d\u2019impacts li\u00e9s \u00e0 la mise en \u0153uvre qui emp\u00eacheraient les membres courtiers en fonds communs de placement de s\u2019y conformer dans les d\u00e9lais. Il a \u00e9galement recommand\u00e9 un examen post-mise en \u0153uvre, 18 \u00e0 24 mois apr\u00e8s celle-ci, afin d\u2019\u00e9valuer la coh\u00e9rence, les impacts op\u00e9rationnels et la mesure dans laquelle les r\u00e8gles atteignaient leurs objectifs.<br><\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><\/p>\n","protected":false},"excerpt":{"rendered":"<p>T\u00e9l\u00e9charger le PDF : Bulletin OCRI 26-0039 &#8211; Projet de regroupement des r\u00e8gles R\u00e9sum\u00e9 de la lettre : La OCRI sollicite des commentaires sur la phase 6 de son projet de consolidation des r\u00e8gles, qui vise \u00e0 regrouper les r\u00e8gles applicables aux courtiers en valeurs mobili\u00e8res et aux courtiers en fonds communs de placement au [&hellip;]<\/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-4848","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":"<!-- This site is optimized with the Yoast SEO plugin v27.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Bulletin OCRI 26-0039 - Projet de regroupement des r\u00e8gles - CFA Societies Canada<\/title>\n<meta name=\"description\" content=\"R\u00e9ponse de CFA Societies Canada au Bulletin 26-0039 du OCRI \u2013 Projet de consolidation des r\u00e8gles\" \/>\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-26-0039-rule-consolidation-project\/\" \/>\n<meta property=\"og:locale\" content=\"fr_FR\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Bulletin OCRI 26-0039 - Projet de regroupement des r\u00e8gles - CFA Societies Canada\" \/>\n<meta property=\"og:description\" content=\"R\u00e9ponse de CFA Societies Canada au Bulletin 26-0039 du OCRI \u2013 Projet de consolidation des r\u00e8gles\" \/>\n<meta property=\"og:url\" content=\"https:\/\/cfacanada.org\/fr\/ciro-bulletin-26-0039-rule-consolidation-project\/\" \/>\n<meta property=\"og:site_name\" content=\"CFA Societies Canada\" \/>\n<meta property=\"article:published_time\" content=\"2026-06-23T18:20:38+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2026-06-23T19:17:21+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-26-0039-rule-consolidation-project\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/cfacanada.org\\\/fr\\\/ciro-bulletin-26-0039-rule-consolidation-project\\\/\"},\"author\":{\"name\":\"clloyd@cfacanada.org\",\"@id\":\"https:\\\/\\\/cfacanada.org\\\/#\\\/schema\\\/person\\\/bfb8c441f84b1651d6d5ad4a42a07022\"},\"headline\":\"Bulletin OCRI 26-0039 &#8211; 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