Canada: Politique portant sur la dénonciation : clarification des critères d'admissibilité visant les conseillers juridiques internes et mise en œuvre de mesures anti-représailles

  • La Commission des valeurs mobilières de l'Ontario (la « CVMO ») a proposé de modifier la Politique 15 601 de la CVMO intitulée Programme de dénonciation afin de préciser qu'un conseiller juridique interne qui divulgue des renseignements en violation des règles déontologiques du barreau ne sera pas admissible à une récompense au dénonciateur.
  • La Loi sur les valeurs mobilières (Ontario) a été modifiée afin de permettre aux dénonciateurs d'intenter un recours civil lorsque des représailles sont exercées contre eux en violation des lois sur les valeurs mobilières.
  • Tel que mentionné précédemment, le Programme de dénonciation de la CVMO a été lancé en juillet 2016 dans le but d'encourager le signalement d'inconduites graves liées aux valeurs mobilières.

Modifications proposées de la Politique 15-601 de la CVMO

Le 18 janvier 2018, la CVMO a publié pour commentaires des modifications proposées (les modifications proposées) de la Politique 15-601 de la CVMO Programme de dénonciation (la Politique). Ces modifications prévoient que la Politique n'est pas censée avoir préséance sur le code de déontologie du barreau d'une province ou d'un territoire qui interdirait aux conseillers juridiques internes de communiquer des renseignements confidentiels ou privilégiés sur leur client. La CVMO ne souhaite pas que la Politique incite les avocats à violer ces règles et ne souhaite pas recevoir des renseignements protégés par le secret professionnel qui lie l'avocat à son client.

Conséquences de la clarification

Les modifications proposées éclairciraient le fait que les exceptions à l'inadmissibilité prévues par la Politique ne s'appliquent pas aux conseillers juridiques internes pour les questions soulevées lorsqu'ils agissent en tant que juristes. Toutefois, le conseiller juridique interne qui occupe aussi une fonction non juridique dans une organisation peut quand même participer au programme de dénonciation en ce qui concerne les questions soulevées dans le cadre de l'exercice de cette fonction non juridique.

Ces clarifications recevront probablement un accueil positif des conseillers juridiques internes susceptibles de se trouver dans des situations délicates qui les obligent à équilibrer leur devoir de se conformer aux règles de déontologie et leur obligation de signaler les violations de la législation en valeurs mobilières. Toute communication interdite par les règles de déontologie du barreau concerné est également interdite par le programme de dénonciation de la CVMO. Comme le remarque la CVMO, certaines formes d'inconduite de clients peuvent ou doivent toutefois dans certains territoires être signalées en vertu des règles de déontologie du barreau concerné; il est alors possible au conseiller juridique interne de participer au programme de dénonciation.

Les émetteurs seront également rassurés puisqu'ils pourront continuer à demander des conseils à leur conseiller juridique interne sans craindre que ce dernier puisse avoir un incitatif financier pour violer la confidentialité de renseignements qui devraient être protégés par le secret professionnel entre l'avocat et son client en vertu des règles de déontologie du barreau concerné.

Prochaines étapes

Les commentaires sur les modifications proposées par la CVMO seront acceptés jusqu'au 20 mars 2018. Pour de plus amples renseignements, veuillez consulter OSC Notice and Request for Comment Proposed Change to OSC Policy 15-601 Whistleblower Program (18 janvier 2018).

Nouveau recours civil pour représailles dans la Loi sur les valeurs mobilières de l'Ontario

Dans son document Perspectives économiques et revue financière de l'Ontario 2017, le gouvernement de l'Ontario a indiqué qu'il comptait modifier la législation en valeurs mobilières de la province de façon à fournir une cause d'action civile dans le cas où des dénonciateurs font l'objet de représailles, en violation de la législation en valeurs mobilières. À compter du 14 décembre 2017, la Loi sur les valeurs mobilières (Ontario) a été modifiée pour ajouter la procédure que doivent suivre les employés qui ont fait l'objet de représailles interdites pour déposer une plainte auprès d'un arbitre ou du tribunal, y compris les ordonnances que peuvent rendre l'arbitre ou le tribunal. C'est à la personne ou à la compagnie en cause qu'il incombe de prouver qu'elle n'a pas exercé de représailles contre l'employé.

Tel que mentionné précédemment, des mesures de protection contre les représailles en cas de dénonciation ont été ajoutées dans la Loi sur les valeurs mobilières (Ontario) en 2016. Ces dispositions interdisent aux personnes et aux compagnies d'exercer des représailles contre l'employé qui a demandé des conseils quant à la fourniture de renseignements, qui a exprimé l'intention de fournir des renseignements ou qui a fourni des renseignements à la personne ou compagnie, à la CVMO, à un organisme d'autoréglementation reconnu ou à un organisme d'exécution de la loi au sujet d'un acte que la personne ou compagnie a accompli, continue d'accomplir ou est sur le point d'accomplir et qui, de l'avis de l'employé, est contraire au droit ontarien des valeurs mobilières. Des mesures anti représailles semblables ont été introduites au Québec et devraient être adoptées au printemps 2018.

Mesures à prendre : politiques internes de dénonciation

La grande attention accordée aux programmes de dénonciation est l'occasion pour les émetteurs de revoir leurs propres méthodes de dénonciation à l'interne de sorte que les plaintes soient traitées de manière à ne pas violer les dispositions anti représailles existantes de la Loi sur les valeurs mobilières (Ontario). La meilleure stratégie d'atténuation des risques consiste pour l'émetteur à s'assurer de l'efficacité de ses propres méthodes internes. Il faut ainsi être facile d'accès et transparent, efficace en ce qui concerne la réception, la documentation et le traitement appropriés des plaintes, et s'assurer que les employés occupant un poste de direction soient bien formés pour traiter les plaintes.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
In association with
Related Topics
 
Related Articles
 
Related Video
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Register for Access and our Free Biweekly Alert for
This service is completely free. Access 250,000 archived articles from 100+ countries and get a personalised email twice a week covering developments (and yes, our lawyers like to think you’ve read our Disclaimer).
 
Email Address
Company Name
Password
Confirm Password
Position
Mondaq Topics -- Select your Interests
 Accounting
 Anti-trust
 Commercial
 Compliance
 Consumer
 Criminal
 Employment
 Energy
 Environment
 Family
 Finance
 Government
 Healthcare
 Immigration
 Insolvency
 Insurance
 International
 IP
 Law Performance
 Law Practice
 Litigation
 Media & IT
 Privacy
 Real Estate
 Strategy
 Tax
 Technology
 Transport
 Wealth Mgt
Regions
Africa
Asia
Asia Pacific
Australasia
Canada
Caribbean
Europe
European Union
Latin America
Middle East
U.K.
United States
Worldwide Updates
Registration (you must scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions