April 21, 2016 - Investor Advisory Panel - Agenda
INVESTOR ADVISORY PANEL
MEETING AGENDA
| Meeting Date: |
Thursday, April 21, 2016, 10:00 am – 3:00 pm |
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| Location: |
Ontario Securities Commission, 20 Queen Street West |
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| Members: |
Ursula Menke (Chair), Connie Craddock, Letty Dewar, Harold Geller, Ken Kivenko, Alison Knight, Louise Tardif ) |
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| Invitees: |
Wanda Morris, Vice President Advocacy & Chief Operating Officer, CARP Julie Perry, Consultant, Information Services Brian Thackoorie, Senior Workforce and Business Systems Analyst, Human Resources Andrew Kriegler, President and CEO, Investment Industry Regulatory Organization of Canada Marsha Gerhart, Vice President, Member Regulation Policy, Investment Industry Regulatory Organization of Canada Tyler Fleming, Director, Investor Office Caroline Cakebread, IAP Consultant |
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| TIME | AGENDA ITEMS | PRESENTERS |
| 10:00 – 10:15 | 1. Chair’s remarks | Ursula Menke |
| 10:15 – 11:00 | 2. CARP Update | Wanda Morris |
| 11:15 – 11:15 | 3. Human Resources Update | Julie Perry Brian Thackoorie |
| 11-15 – 12:00 | 4. Proposed Amendments to MFDA Rule 2.3 – Power of Attorney/Limited Trading Authorization/Discretionary Trading - attachment | All members |
| 12:00 | Lunch delivered | |
| 12:00 – 1:00 | 5. IIROC - Risk Profiling Research discussion | Andrew Kriegler Marsha Gerhart |
| 1:00 – 1:15 | 6. Risk Profiling Roundtable discussion | All members |
| 1:15 – 1:45 | 7. Statement of Priorities response - attachment | All members |
| 1:45 – 2:00 | 8. Market Regulation proposed comments discussion | All members |
| 2:00 – 2:15 | 9. Preliminary Policy Recommendations of the Expert Committee to Consider Financial Advisory and Financial Planning Policy Alternatives discussion - attachment | All members |
| 2:15 – 2:30 | 10. Upcoming IAP Meetings discussion | All members |
| 2:30 – 2:45 | 11. Investor Office Update | Tyler Fleming |
| 2:45 – 3:00 | 12. Other business | All members |
| FUTURE MEETINGS: | ||
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Thursday, May 19, 2016: 9:30am – 3:00pm Thursday, June 16, 2016: 9:30am – 3:00pm Thursday, July 21, 2016: 9:30am – 3:00pm Thursday, August 18, 2016: 9:30am – 3:00pm Thursday, September 15, 2016: 9:30am – 3:00pm Thursday, October 20, 2016: 9:30am – 3:00pm Thursday, November 17, 2016: 9:30am – 3:00pm Thursday, December 8, 2016: 9:30am – 3:00pm |
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