July 19, 2018 - Investor Advisory Panel

le 19 juillet 2018

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