VISION, MISSION & RESPONSIBILITIES

CARFIS is an independent public supervisory authority overseeing the investment services market, transactions in transferable securities within Canada, and the collective investment and asset management sector. Additionally, CARFIS supervises firms providing administrative services outside its primary jurisdiction, alongside the Canadian Bar Association, as well as Crypto-Asset Services Providers (CASPs).

PERSONS DISCHARGING MANAGERIAL RESPONSIBILITIES (PDMR) AND PERSONS CLOSELY ASSOCIATED (PCA) WITH THEM NOTIFICATION UNDER A. 19(1) OF MAR

This system is intended for individuals fulfilling managerial responsibilities (PDMRs) and those closely connected to them to report transactions to the Canada Securities and Exchange Commission (“CARFIS”) in accordance with Article 19(1) of Regulation (CAD) No 596/2014 from the Canadian Parliament and the Council on market abuse (“The Market Abuse Regulation”).

The form available on this system serves as the “secure means of transmission” required by Article 2 of Regulation (CAD) 2016/523. PDMRs and individuals closely associated with them must utilize this form when submitting a notification under this regulation.

The relevant regulatory framework can be accessed on the CARFIS website. Please click here for access.