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June 16, 2016 - Investor Advisory Panel - Agenda

June 16, 2016

INVESTOR ADVISORY PANEL

MEETING AGENDA

Meeting Date:		Thursday, June 16, 2016, 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:		Kelly Gorman, Deputy Director, Enforcement Heidi Franken, Manager, Enforcement Clare Devlin, Litigation Counsel, Enforcement Shaifali Joshi-Clark, Senior Forensic Accountant, Enforcement Neil Gross, Executive Director, FAIR Canada Marian Passmore, Director of Policy and COO, FAIR Canada Debra Foubert, Director, Compliance & Registrant Regulation John Mountain, Director, Investment Funds and Structured Products Tyler Fleming, Director, Investor Office Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s remarks	Ursula Menke
9:45 – 10:15	2. Whistleblower Update	Kelly Gorman Heidi Franken Clare Devlin Shaifali Joshi-Clark
10:15 – 11:15	3.CSA Consultation Paper 33-404 Discussion with FAIR Canada	Neil Gross Marian Passmore
11:15 – 12:00	4. CSA Consultation Paper 33-404 Discussion with Compliance and Registrant Regulation	Debra Foubert
12:00	Lunch delivered
12:00 – 1:05	5. CSA Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients – attachments	All members
1:05 – 1:10	6. Registrant Outreach – CSA Consultation Paper 33-404 Seminar - attachment	All members
1:10 – 1:25	7. OBSI Independent Evaluation - attachment	All members
1:25 – 1:45	8. IIROC’s Three-Year Strategic Plan and 2017 Priorities - attachments	All members
1:45 – 2:00	9. Risk Profiling Roundtable Update	All members
2:00 – 2:30	10. Investment Funds and Structured Products Update	John Mountain
2:30 – 2:45	11. Investor Office Update	Tyler Fleming
2:45 – 2:50	12. OSC 2016-2017 Statement of Priorities – for information - attachment	All members
2:50 – 3:00	12. Other business	All members
FUTURE MEETINGS:
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