• About us
  • Overview
  • Governance and structure
  • Mission and roles
  • Committees
• Regulation
  • Regulatory amendments
  • Rules and policies
  • Procedures
  • Circulars
• Complaints
  • Submitting a complaint
  • Complaint process
  • Complaint form
• Disciplinary process
  • Procedure
• Approval
  • Becoming an approved participant
  • SAM authorized person
  • SAM courses
  • Application for transfer/change of status
  • Termination notice
  • Change of corporate status
  • Approved participants list

Committees

Special Committee – Regulatory Division

The Special Committee – Regulatory Division supervises and controls the activities of the Division, subject to the final authority of the Exchange’s Board of Directors and the AMF.

The Special Committee – Regulatory Division adopts or amends Rules and Policies of the Exchange regarding various matters relative to the supervision of approved participants, their approved persons and restricted trading permit holders. It makes recommendations to the Board regarding the Rules and Policies of the Exchange relative to market surveillance.

It also approves requests for approvals to become approved participants and exercises powers to suspend or revoke such approvals. It also exercises powers to order inspections and investigations and acts as an appeal forum for final decisions rendered by disciplinary committees of the Exchange or other staff committees of the Exchange.

The Special Committee – Regulatory Division is composed of seven (7) members, at least a majority of whom is independent and none of whom is a director of the Exchange or CDCC.

Disciplinary Committee

The Disciplinary Committee hears complaints brought pursuant to article 4101.

The Exchange maintains a list of persons eligible to sit on a Disciplinary Committee. This list and any change thereto must be approved by the Special Committee.

The list consists of:

1. individuals:
   1. who are directors, officers or partners of approved participants; or
   2. who are retired from the securities industry and who were previously directors, officers or partners of an approved participant.
2. at least two (2) individuals who are related neither to an approved participant nor to the Exchange.

The Disciplinary Committee is comprised of three persons named by the Secretary of the Bourse who must select two of them among the persons mentioned in a) or among the members of the Special Committee, and one among the persons mentioned in b).

Rules and Policies Committee

This Committee is composed of three members of the executive committee of the Bourse and has the mandate to approve any regulatory amendment proposal concerning trading rules.

• Circulars
• Becoming an approved participant
• Regulatory fees (.pdf)