L'encadrement légal et les types de déviance dans les services de placement (notice n° 1633743)
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| fixed length control field | 04632cam a2200469 4500500 |
| 005 - DATE AND TIME OF LATEST TRANSACTION | |
| control field | 20260111115452.0 |
| 041 ## - LANGUAGE CODE | |
| Language code of text/sound track or separate title | fre |
| 042 ## - AUTHENTICATION CODE | |
| Authentication code | dc |
| 100 10 - MAIN ENTRY--PERSONAL NAME | |
| Personal name | Crête, Raymonde |
| Relator term | author |
| 245 00 - TITLE STATEMENT | |
| Title | L'encadrement légal et les types de déviance dans les services de placement |
| 260 ## - PUBLICATION, DISTRIBUTION, ETC. | |
| Date of publication, distribution, etc. | 2010.<br/> |
| 500 ## - GENERAL NOTE | |
| General note | 32 |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | RésuméLe comportement déviant des courtiers, des gestionnaires de portefeuille et des planificateurs financiers peuvent entraîner des effets dévastateurs sur les plans microéconomique et macroéconomique, comme en témoignent de nombreuses affaires qui se sont produites ces dernières années au Canada et aux États-Unis. Cet article présente l’encadrement légal des entreprises de services de placement et de leurs représentants, en faisant ressortir les principales obligations applicables à ces intermédiaires et en distinguant les différentes autorités de surveillance et de contrôle responsables de l’application des régimes de responsabilité en matière civile, administrative, disciplinaire, pénale et criminelle. Ensuite, l’article met en évidence divers types de comportements déviants, soit les actes prohibés, comme l’exercice illégal de la profession et le blanchiment d’argent, de même que la violation des devoirs de diligence, de loyauté et de transparence. Plusieurs exemples tirés de la jurisprudence illustrent ces types de comportements déviants des entreprises et de leurs représentants. Fonctions : GRH, comptabilité, finance, management, droit Secteurs : financier, valeurs mobilières, bancaire |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | As illustrated by the numerous scandals that have made headlines in recent years in Canada and the United States, financial advisors, portfolio managers and financial planners can trigger events that have a devastating effect at both the micro- and macro-economic level. This article presents an overview of the legal framework governing investment services firms, while highlighting the main obligations of intermediaries and distinguishing between the different monitoring and control authorities responsible for enforcing the various civil, administrative, disciplinary, penal and criminal liability systems. Next, the article looks at different types of deviant behaviour, or prohibited acts, including illegal practice of the profession and money laundering, as well as the violation of the duty of diligence, loyalty and transparency. Several examples from case law are used to illustrate these different types of deviant behaviour. Functions: HRM, accounting, finance, management, law Sectors: financial, banking |
| 520 ## - SUMMARY, ETC. | |
| Summary, etc. | ResumenLos consejeros financieros, gerentes de cartera y planeadores financieros pueden provocar efectos devastadores en los planos microeconómicos y macroeconómicos, como lo muestran muchos casos que ocurrieron estos últimos años en Canadá y Estados Unidos. En este artículo se presenta el marco jurídico de las empresas de servicios de inversión, resaltando las principales obligaciones aplicables a los intermediarios y haciendo la distinción entre las distintas autoridades de monitoreo y de control responsables de la aplicación de los regímenes de responsabilidad en lo civil, lo administrativo, lo disciplinario, lo penal y lo criminal. El artículo pone luego de relieve los diversos tipos de conductas desviadas, es decir los actos prohibidos, como el ejercicio ilegal de la profesión y el lavado de dinero, así como la violación de los deberes de diligencia, lealtad y transparencia. Varios ejemplos sacados de la jurisprudencia ilustran estos tipos de conductas desviadas. Funciones: GRH, contabilidad, finanzas, administración, derecho Sectores: financiero, bancario |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | autorités de surveillance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | déontologie |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | détournement de fonds |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | déviance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | encadrement légal |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | éthique |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | fabrication de faux |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | fraude |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | gouvernance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | négligence |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | code of ethics |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | deviance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | embezzlement |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | ethics |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | falsification |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | forgery |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | fraud |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | governance |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | integrity |
| 690 ## - LOCAL SUBJECT ADDED ENTRY--TOPICAL TERM (OCLC, RLIN) | |
| Topical term or geographic name as entry element | theft |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Naccarato, Mario |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Duclos, Cinthia |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Létourneau, Audrey |
| Relator term | author |
| 700 10 - ADDED ENTRY--PERSONAL NAME | |
| Personal name | Mabit, Clément |
| Relator term | author |
| 786 0# - DATA SOURCE ENTRY | |
| Note | Gestion | 35 | 2 | 2010-06-01 | p. 35-48 | 0701-0028 |
| 856 41 - ELECTRONIC LOCATION AND ACCESS | |
| Uniform Resource Identifier | <a href="https://shs.cairn.info/revue-gestion-2010-2-page-35?lang=fr&redirect-ssocas=7080">https://shs.cairn.info/revue-gestion-2010-2-page-35?lang=fr&redirect-ssocas=7080</a> |
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