English: Table of Contents Table of Contents ______________________________________________________________________________________ 2 Message from the Chair_________________________________________________________________________________ 4 Introduction __________________________________________________________________________________________ 5 The CSA__________________________________________________________________________________________ 5 The CSA’s Mission _________________________________________________________________________________ 5 CSA Structure ________________________________________________________________________________________ 6 How the CSA is organized ______________________________________________________________________________ 6 Policy Coordination Committee ________________________________________________________________________ 6 General Secretariat __________________________________________________________________________________ 6 CSA Standing & Project Committees ___________________________________________________________________ 6 How the CSA operates – tools and processes________________________________________________________________ 7 MRRS____________________________________________________________________________________________ 7 SuperMOU ________________________________________________________________________________________ 7 Electronic Databases ________________________________________________________________________________ 7 CTO National Database ______________________________________________________________________________ 8 NRD _____________________________________________________________________________________________ 8 SEDAR___________________________________________________________________________________________ 8 SEDI _____________________________________________________________________________________________ 8 National Instruments ________________________________________________________________________________ 8 Publications _______________________________________________________________________________________ 8 Our mission _________________________________________________________________________________________ 9 Our Guiding Principles_________________________________________________________________________________ 9 Our goals ___________________________________________________________________________________________ 9 Innovative, Responsive and Flexible Policy-Making _______________________________________________________ 10 Coordinated and Streamlined Administrative and Regulatory Operations_______________________________________ 10 Strategic, Firm and Fair Enforcement __________________________________________________________________ 10 Enforcement _________________________________________________________________________________________ Who does what and how ______________________________________________________________________________ Key players_________________________________________________________________________________________ Securities tribunals _________________________________________________________________________________ SROs ___________________________________________________________________________________________ Exchanges________________________________________________________________________________________ Police ___________________________________________________________________________________________ Courts ___________________________________________________________________________________________ Mandate of CSA Enforcement Standing Committee _______________________________________________________ Semi-annual Report of CSA Enforcement Activities _______________________________________________________ 11 11 11 11 11 11 12 12 12 12
French: Table des matières Table des matières _____________________________________________________________________________________ 2 Mot du président ______________________________________________________________________________________ 4 Introduction __________________________________________________________________________________________ 5 Les ACVM ________________________________________________________________________________________ 5 Mission des ACVM _________________________________________________________________________________ 5 Structure des ACVM ___________________________________________________________________________________ Organisation des ACVM _______________________________________________________________________________ Comité de coordination de la réglementation______________________________________________________________ Secrétariat général __________________________________________________________________________________ Comités permanents et comités chargés de projets _________________________________________________________ Fonctionnement des ACVM – outils et processus ____________________________________________________________ Régime d’examen concerté ___________________________________________________________________________ SuperMOU ________________________________________________________________________________________ Bases de données électroniques ________________________________________________________________________ Base de données nationale des interdictions d’opérations sur valeurs ___________________________________________ BDNI ____________________________________________________________________________________________ SEDAR___________________________________________________________________________________________ SEDI_____________________________________________________________________________________________ Règlements ________________________________________________________________________________________ Publications _______________________________________________________________________________________ Objectifs stratégiques__________________________________________________________________________________ Notre mission _______________________________________________________________________________________ Nos principes directeurs _______________________________________________________________________________ Nos objectifs________________________________________________________________________________________ Réglementation innovatrice, souple et adaptée ___________________________________________________________ Activités administratives et réglementaires coordonnées et simplifiées_________________________________________ Mesures rigoureuses, équitables et stratégiques d’application de la loi _________________________________________ Rôles et fonctionnement_______________________________________________________________________________ Principaux acteurs ___________________________________________________________________________________ Tribunal des valeurs mobilières _______________________________________________________________________ Organismes d’autoréglementation _____________________________________________________________________ Bourses __________________________________________________________________________________________ Services de police__________________________________________________________________________________ Tribunaux judiciaires _______________________________________________________________________________ Mandat du comité permanent des ACVM chargé de l’application de la loi______________________________________ Rapport semestriel sur les mesures d’application de la loi___________________________________________________ 6 6 6 6 6 7 7 7 8 8 8 8 8 8 9