June 15, 2017 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA

Meeting Date:

Thursday, June 15, 2017, 9:30 am – 3:00 pm

Location:

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

Members:

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

Invitees:

Jo-Anne Matear, Manager, Corporate Finance
Stephanie Tjon, Senior Legal Counsel, Corporate Finance
Tamara Driscoll, Accountant, Corporate Finance
Karen McGuinness, Senior Vice-President, Member Regulation – Compliance, MFDA
Shaun Devlin, Senior Vice-President, Member Regulation – Enforcement, MFDA
Ian Strulovitch, Director, Public Affairs, MFDA
Marian Passmore, Director of Policy and COO, Canadian, FAIR Canada
Laura Tamblyn Watts, Senior Fellow and Staff Lawyer, Canadian Centre for Elder Law
John Mountain, Director, Investment Funds and Structured Products
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

Letty Dewar

9:45 – 10:25

 2. CSA Consultation Paper 51-404 – Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers – attachment

Jo-Anne Matear
Stephanie Tjon
Tamara Driscoll

10:25 – 11:05

 3. MFDA Update - attachment

Karen McGuinness
Shaun Devlin
Ian Strulovitch

11:05 – 12:30

4. Law Foundation of Ontario Vulnerable Investor Project - Vulnerable Investors and Legal Safe Harbour Consultation

Marian Passmore
Laura Tamblyn Watts

12:30

Lunch delivered

12:45 – 1:00

 5. Climate Change Disclosure Review Project – follow-up - attachments

Alison Knight
All members

1:00 – 2:00

 6. Best Interest Discussion - attachment

All members

2:00 – 2:30

 7. Reducing Regulatory Burden

John Mountain

2:30 – 2:45

 8. Final Report of the Expert Committee to Consider Financial Advisory and Financial Planning Policy Alternatives - attachments

All members

2:45 – 3:00

 9. CSA Notice and Request for Comment – Proposed NI 91-102 Prohibition of Binary Options and Related Proposed Companion Policy - attachment

All members

FUTURE MEETINGS
Thursday, July 20, 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