Our Mandate

Core Regulatory Functions

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Core Regulatory Functions

The Division's primary regulatory functions include examinations, market analysis and investigations.

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Legal Affairs

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Legal Affairs

Our role is to enforce the rules of the Bourse and to support the Division's other services in their regulatory activities.

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Strategy and Regulatory Outreach

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Strategy and Regulatory Outreach

Our priorities include providing market participants with information and resources to meet compliance needs, coordinate rules amendments and development initiatives, and process regulatory requests.

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Systems and Data

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Systems and Data

Our team is dedicated to the sound management and governance of regulatory, personal and confidential data and for the technological roadmap.

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Bourse de Montréal Inc. (the "Bourse") is recognized by the Autorité des marchés financiers as an exchange and a self-regulatory organization pursuant to the Recognition Order. Under the terms of this decision, the Bourse is required to maintain an independent unit, the Regulatory Division (the “Division”), whose primary mission is to perform the regulatory functions and activities of the Bourse.

In accordance with this decision and the Rules of the Bourse regarding the Division (Chapter 2B), the Bourse must ensure that the Division is provided with sufficient resources and funds. Furthermore, no fines or penalties collected by or on behalf of the Division may be distributed or transferred to the Bourse for commercial purposes or for payment of dividends.

The Division funds its programs and activities (including surveillance, investigations and examinations), through distinct regulatory fees levied directly on Approved Participants of the Bourse. Regulatory fees collected are for the exclusive use of regulatory operations.