January 19, 2017 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA

Meeting Date:

Thursday, January 19, 2017, 9:30 am - 2:15 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:

Jeff Kehoe, Director, Enforcement
Shawn Brayman, President and CEO, PlanPlus Inc.
Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant

TIME

AGENDA ITEMS

PRESENTERS

9:30 - 9:45

 1. Chair’s remarks

Ursula Menke

9:45 - 10:30

 2. Enforcement Update

Jeff Kehoe

10:45 - 11:15

 3. Risk Profiling Discussion

Shawn Brayman

11:15 - 11:45

 4. CSA Staff Notice 33-318 - Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives - attachments

All members

11:45 - 12:00

 5. OBSI Response to External Review Recommendations / JRC Letter to IAP - attachments

All members

12:00

Lunch delivered

12:00 - 12:30

 6. IIROC Notice: Guidance on Order Execution Only Services and Activities - attachments

All members

12:30 - 1:30

 7. CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions - attachment

All members

1:30 - 1:45

 8. Investor Office Update

Tyler Fleming

1:45 - 2:00

 9. Update on CRA Tax Ruling

Denise Morris

2:00 - 2:15

 10. Other business

All members

FUTURE MEETINGS
Thursday, February 16, 2017: 9:30am - 3:00pm
Thursday, March 16, 2017: 9:30am - 3:00pm
Thursday, April 20, 2017: 9:30am - 3:0pm
Thursday, May 18, 2017: 9:30am - 3:00pm
Thursday, June 15, 2017: 9:30am - 3:00pm
Thursday, July 20, 2017: 9:30am - 3:00pm
 Thursday, August 17, 2017: 9:30am - 3:00pm
Thursday, September 21, 2017: 9:30am - 3:00pm
Thursday, October 19, 2017: 9:30am - 3:00pm
Thursday, November 16, 2017: 9:30am - 3:00pm
Thursday, December 7, 2017: 9:30am - 3:00pm