May 18, 2017 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA

Meeting Date:

Thursday, May 18, 2017, 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 (via conference), Louise Tardif (absent)

Invitees:

Pat Chaukos, Chief, LaunchPad
Amy Tsai, Fintech Regulatory Advisor, LaunchPad
Steven Oh, Legal Counsel, Corporate Finance
Oujala Motala, Accountant, Corporate Finance
Debra Foubert, Director, Compliance and Registrant Regulation
Erin Seed, Senior Legal Counsel, Compliance and Registrant Regulation
Kevin Fine, Director, Derivatives
Aaron Unterman, Senior Legal Counsel, Derivatives
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 – 10:15

 2. OSC LaunchPad

Pat Chaukos
Amy Tsai

10:15 – 10:45

 3. CSA Climate Change Disclosure Review Project - attachments

Steven Oh
Oujala Motala

10:45 – 11:30

4. Best Interest Standard - CSA Staff Notice 33-319 Update - attachment

Debra Foubert
Erin Seed

11:30 – 11:40

 5. OSC Registrant Outreach Seminar – Overview of the CSA Consultation Paper 81-408 – debrief

Harold Geller

11:40

Lunch delivered

11:40 – 12:30

 6. CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions

All members

12:30 – 12:45

 7. Final Report of the Expert Committee to Consider Financial Advisory and Financial Planning Policy Alternatives – attachment

All members

12:45 – 1:00

 8. CSA Notice and Request for Comment – Proposed NI 93-101 and Proposed Companion Policy 93-101CP Derivatives: Business Conduct - attachment

All members

1:00 – 1:45

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

Kevin Fine (1:00 – 1:30)
Aaron Unterman (1:00 – 1:30)
All members

1:45 – 2:15

 10. OSC 2017-2018 Draft Statement of Priorities - attachment

All members

2:15 – 2:30

 11. IIROC 2016 Enforcement Report - attachment

All members

2:30 – 2:45

 12. IIROC Notice – Managing Conflicts in the Best Interest of the Client – Compensation-related Conflicts Review

All members

2:45 – 2:55

 13. Investor Office Update
- SEAC Update
- Daily News Scans

Tyler Fleming

2:55 – 3:00

 14. Other business
- Investment Executive article

All members

FUTURE MEETINGS
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