Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, October 25th, 2018, 9:30 am – 3:00 pm


Location:

Ontario Securities Commission, 20 Queen Street West
The Grand Meeting Room, 18th Floor


Members:

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


Invitees:

Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant
Mark Pinch, Associate Chief Accountant, Chief Accountant’s Office, OSC
Alex Fisher, Senior Accountant, Chief Accountant’s Office, OSC
Pat Dunwoody, Executive Director, Canadian ETF Association


TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s Remarks

Neil Gross

9:45 – 10:00

2. Investor Office Update

Tyler Fleming
Denise Morris

10:00 – 10:20

3. Research on the extent of advice currently being provided to small investors

All members

10:20 – 10:45

4. Letter re MFDA Oversight

All members

10:45 – 11:00

Break

11:00 – 11:30

5. OSC Enforcement Proceedings Against BDO (attachment)

All members

11:30 – 12:00

6. Proposals on Non-GAAP and Other Financial Measures

Mark Pinch
Alex Fisher

12:00 – 12:30

Lunch

12:30 – 1:15

7. Zero-Fee ETFs

Pat Dunwoody

1:15 – 1:35

8. AMF’s findings re errors in determining fund risk ratings (attachment)

All members

1:35 – 1:55

9. Comment letter on CSA proposals re DSCs and trailer fees paid to OEO firms

All members

1:55 – 2:15

10. Remediation programs – oversight and leveraging settlements

All members

2:15 – 2:35

11. Collaboration projects: (attachment)

  1. Risk profile
  2. Single complaint portal

All members

2:35 – 3:00

12. Other Business

 

FUTURE 2018 MEETING DATES:

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

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

FUTURE 2019 MEETING DATES:

Thursday, January 17, 2019: 9:30 – 3:00 pm

Thursday, July 18, 2019:  9:30 – 3:00 pm

Thursday, February 21, 2019: 9:30 – 3:00 pm

Thursday, August 15, 2019: 9:30 – 3:00 pm

Thursday, March 21, 2019: 9:30 – 3:00 pm

Thursday, September 19, 2019: 9:30 – 3:00 pm

Thursday, April 18, 2019: 9:30 – 3:00 pm

Thursday, October 17, 2019: 9:30 – 3:00 pm

Thursday, May 16, 2019: 9:30 – 3:00 pm

Thursday, November 21, 2019: 9:30 – 3:00 pm

Thursday, Jun 20, 2019: 9:30 – 3:00 pm

Thursday, December 12, 2019: 9:30 – 3:00 pm