January 22, 2019 - Investor Advisory Panel

le 22 janvier 2019

Meeting Date:		Tuesday, January 22, 2019, 9:30 am – 3:40 pm

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

Members:		Neil Gross (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Daniel Brunet, Pattie Best, Malcolm Heins, Harvey Naglie, Ilana Singer

Invitees:		Tyler Fleming, Director, Investor Office Daniella Laise, Manager, Policy, Investor Office Caroline Cakebread, IAP Consultant Jo-Anne Matear, Manager, Corporate Finance Stephanie Tjon, Senior Legal Counsel, Corporate Finance Jessie Gill, Legal Counsel, Corporate Finance Marie-France Bourret, Acting Manager, Corporate Finance Christine Krikorian, Senior Accountant, Corporate Finance Joseph Della Manna, Manager, Market Regulation Stacey Barker, Senior Accountant, Market Regulation Raymond Chan, Acting Director, Investment Funds and Structured Products Darren McKall, Manager, Investment Funds and Structured Products Chris Bent, Senior Legal Counsel, Investment Funds and Structured Products Doug Sarro, Senior Advisor, Investor Office Tom Smith, Resolver Peter Wright, Resolver Naizam Kanji, Director, Office of Mergers & Acquisitions Winnie Sanjoto, Manager, Corporate Finance David Surat, Senior Legal Counsel, Corporate Finance

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s Report (attachment)	Neil Gross
9:45 – 10:00	2. Investor Office Update	Tyler Fleming Daniella Laise
10:00 – 10:30	3. CSA Staff Notice 51-356 – Problematic Promotional Activities by Issuers (attachments)	Jo-Anne Matear Stephanie Tjon Jessie Gill Marie-France Bourret Christine Krikorian
10:30 – 11:00	4. Oversight of SRO Rule Proposals	Joseph Della Manna Stacey Barker
11:00 – 11:30	5. Liquid Alternative Funds – Benchmarks for Risk Ratings (attachment)	Raymond Chan Darren McKall Chris Bent
11:30 – 11:45	Break
11:45 – 12:15	6. Mass Market Advice Poll (attachment)	Doug Sarro
12:15 – 12:30	7. Co-ordinated Registration Revocation (attachments)	Neil Gross
12:30 – 1:00	Lunch
1:00 – 1:45	8. Resolver – Demo and Discussion	Tom Smith Peter Wright
1:45 – 2:45	9. Draft Letters	Harvey Naglie Neil Gross
2:45 – 3:00	10. Disruptive Technologies and Innovations – a.k.a. “Horizon Project”	Neil Gross
3:00 – 3:30	11. Regulatory Burden Reduction Task Force/IIAC’s “Regulatory Accountability” Initiative (attachments)	Naizam Kanji Winnie Sanjoto David Surat
3:30 – 3:40	12. Other Business	All members