Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, July 19th, 2018, 9:30 am – 3:00 pm


Location:

Ontario Securities Commission, 20 Queen Street West
Commissioners’ Boardroom, 17th Floor


Members:

Letty Dewar (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Pattie Best, Neil Gross, Malcolm Heins, Harvey Naglie, Louise Tardif


Invitees:

Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant
Susan Greenglass, Director, Market Regulation
Joseph Della Manna, Manager, Market Regulation
Chris Jepson, Senior Legal Counsel, Compliance and Registrant Registration
Erin Seed, Senior Legal Counsel, Compliance and Registrant Registration
Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Registration
Raymond Chan, Acting Director, Investment Funds and Structured Products
Irene Lee, Senior Legal Counsel, Investment Funds and Structured Products


TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s Remarks

Letty Dewar

9:45 – 10:45

2. Market Regulation – MFDA Report (attachment)

Susan Greenglass
Joseph Della Manna

10:45 – 11:00

Break

11:00 – 12:00

3. Panel Discussion – Proposed NI 31-103 and Companion Policy (attachment & please refer to package from last meeting)

All members

12:00 – 12:30

Lunch

12:30 – 12:45

4. Investor Office Update

Tyler Fleming
Denise Morris

12:45 – 2:00

5. Compliance and Registrant Regulation – Client Focused Reforms (please refer to package from last meeting)

Chris Jepson
Erin Seed
Kat Szybiak

2:00 – 2:45

6. Investment Funds and Structured Products – Embedded Fees (please refer to package from last meeting)

Raymond Chan
Irene Lee

2:45 – 3:00

7. Other Business (attachments)

 

 

FUTURE 2018 MEETING DATES:

Thursday, August 16, 2018: 9:30am – 3:00pm

Thursday, November 15, 2018: 9:30am – 3:00pm

Thursday, September 13: 2018: 9:30am – 3:00pm

Thursday, December 6, 2018: 9:30am – 3:00pm

Thursday, October 18, 2018: 9:30am – 3:00pm