April 18, 2019

Meeting Date:		Thursday, April 18, 2019, 9:30 am - 3:00 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, Patti Best, Malcolm Heins, Harvey Naglie, Ilana Singer

Invitees:		Tyler Fleming, Director, Investor Office Daniella Laise, Manager, Policy, Investor Office Katie Walmsley, President, PMAC Jim Sinclair, General Counsel, General Counsel’s Office Yvonne Chisholm, Senior Litigation Counsel, General Counsel’s Office Paloma Ellard, Manager, Compliance Litigation & Risk, General Counsel’s Office Doug Sarro, Senior Advisor, Investor Office Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:40	1. Chair’s Report	Neil Gross
9:40 – 9:45	2. Investor Office Update	Tyler Fleming Daniella Laise
9:45 – 10:00	3. Proposed Amendments to MFDA Rule 2.3.1(b) – Discretionary Trading (attachment)	All members
10:00 – 10:45	4. PMAC Update	Katie Walmsley
10:45 – 11:00	5. Consultation on MFDA Governance (attachment)	All members
11:00 – 11:30	6. Reciprocal Enforcement	Jim Sinclair Yvonne Chisholm Paloma Ellard
11:30 – 12:00	7. Mass Market Survey Results	Doug Sarro
12:00 – 12:45	Lunch
12:45 – 2:15	8. OSC Draft Statement of Priorities (attachment)	All members
2:15 – 2:45	9. IOSCO Report – The Application of Behavioural Insights to Retail Investor Protection (attachment)	All members
2:45 – 3:00	10. Other Business	All members

April 18, 2019 - Investor Advisory Panel - Agenda