In an effort to automate and increase the confidentiality and security of the information shared between the Regulatory Division and the Bourse Participants, the Division has established a web portal that allows participants to fulfill their obligations regarding regulation.
The portal will be a secure and user-friendly single point of contact for participants. It will facilitate access to regulatory documents as well as the sending of requests, reports and notices to the Division. Participants will have round-the-clock access for consulting information related to their activities with the Division, such as the list of their approved persons, their MX-ID identifiers, and to consult the status of any request they have submitted to the Division. Following the launch of the portal, improvements will gradually be made to the initial functions throughout the year 2019.
- Secure File Transfer
- Approved Person Requests
- Status Change
- MX-ID Access
- Order Marker Correction
Overview of the Regulatory Division's objectives
Stages in the deployment
- The Division will transfer to the portal information it currently holds on each participant, including the list of approved persons and MX-ID identifiers. Participants will be required to collaborate by validating the accuracy of the information held by the Division and correcting it, as required.
- The Division will contact each participant to grant administrator access to the designated representative, the chief compliance officer or any other person authorized by the participant to act on its behalf. This administrator will then be able to authorize access to certain functionalities for various individuals, based on the participant's corporate structure and specific needs.
The Division will offer 2 classroom training sessions; in Montreal on February 18 and in Toronto on February 20.
A webinar will also shortly be available here following these training sessions.
For more information, please contact Nathalie Tessier, Senior Coordinator at the Regulatory Division at 514.787.6552, or email@example.com