March 16, 2017 - Investor Advisory Panel - Agenda
INVESTOR ADVISORY PANEL
MEETING AGENDA
| Meeting Date: |
Thursday, March 16, 2017, 9:30 am – 1:30 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 (via conference) |
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| Invitees: |
Susan Greenglass, Director, Market Regulation Joseph Della Manna, Senior Accountant, Market Regulation Tyler Fleming, Director, Investor Office Caroline Cakebread, IAP Consultant |
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TIME |
AGENDA ITEMS |
PRESENTERS |
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9:30 - 9:45 |
1. Chair’s remarks |
Ursula Menke |
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9:45 – 11:15 |
2. CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions - attachments |
All members |
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11:15 – 11:45 |
3. MFDA Oversight Review Report Discussion |
Susan Greenglass |
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11:45 – 12:00 |
4. SEC Investor Bulletin – information item - attachment |
All members |
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12:00 |
Lunch delivered |
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12:00 – 12:30 |
5. MFDA Bulletin: 2016 Year in Review and 2017 Initiatives - attachment |
All members |
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12:30 – 1:00 |
6. Enforcement Issues |
Harold Geller |
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1:00 – 1:15 |
7. Investor Office Update |
Tyler Fleming |
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1:15 – 1:30 |
8. Other business |
All members |
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FUTURE MEETINGS |
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Thursday, April 20, 2017: 9:30am – 3:00pm 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 |
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