September 17, 2015 - Investor Advisory Panel

le 17 septembre 2015

Meeting Date:		Thursday, September 17, 2015, 9:30 am – 3:00 pm

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

Members:		Ursula Menke (Chair), Connie Craddock, Letty Dewar, Harold Geller, Ken Kivenko, Alison Knight, Louise Tardif

Invitees:		Tom Atkinson, Director, Enforcement Karen Manarin, Deputy Director, Enforcement Kelly Gorman, Deputy Director, Enforcement Susan Greenglass, Director, Market Regulation Antoinette Leung, Manager, Market Regulation Joseph Della Manna, Senior Accountant, Market Regulation Maureen Jensen, Executive Director and Chief Administrative Officer Leslie Byberg, Director, Strategy & Operations Chris Jepson, Senior Legal Counsel, Compliance & Registrant Regulation Trevor Walz, Senior Accountant, Compliance & Registrant Regulation Lisa Bonato, Manager, Compliance & Registrant Regulation Jim Sinclair, General Counsel, General Counsel’s Office Stephanie Wakefield, Senior Legal Counsel, General Counsel’s Office Tyler Fleming, Director, Office of Investor Policy, Education and Outreach Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s remarks	Ursula Menke
9:45 – 10:05	2. IOSCO Principles and OSC Compliance - attachment	Tom Atkinson Karen Manarin Kelly Gorman
10:05 – 10:45	3. IIROC Audit discussion – attachments	Ursula Menke
10:35 – 11:05	4. CSA’s Oversight Review of IIROC	Susan Greenglass Antoinette Leung Joseph Della Manna
11:05 – 11:50	5. IIROC Strategic Issues discussion	Ursula Menke
11:50	Lunch delivered
12:00 – 12:45	6. Mystery Shop update	Maureen Jensen Leslie Byberg
12:50 – 1:10	7. Robo Advisors - attachment	Chris Jepson Trevor Walz Lisa Bonato
1:10 – 1:25	8. CMRA update - attachments	Jim Sinclair Stephanie Wakefield
1:25 – 1:35	9. Research Project update	Letty Dewar
1:35 – 2:05	10. Compliance / enforcement discussion	Ken Kivenko
2:05 – 2:50	11. Update from Office of Investor Policy, Education and Outreach	Tyler Fleming
2:50 – 3:00	12. Other business	All members
FUTURE MEETINGS:
Thursday, October 15, 2015: 9:30am – 1:30 pm Thursday, November 19, 2015: 9:30am – 1:30 pm Thursday, December 10, 2015: 9:30 am – 1:30 pm