November 16, 2017

Meeting Date:		Thursday, November 16, 2017, 9:30 am – 3:00 pm

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

Members:		Letty Dewar (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Pattie Best, Neil Gross, Malcolm Heins, Harvey Naglie, Louise Tardif

Invitees:		Tyler Fleming, Director, Investor Office Denise Morris, Manager, Policy, Investor Office Caroline Cakebread, IAP Consultant Debra Foubert, Director, Compliance and Registrant Regulation Maye Mouftah, Senior Legal Counsel, Compliance and Registrant Regulation Erin Seed, Senior Legal Counsel, Compliance and Registrant Regulation John Mountain, Director, Investment Funds and Structured Products Naizam Kanji, Director, Office of Mergers and Acquisitions Marian Passmore, FAIR Canada, Director of Policy and COO

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Opening remarks (attachment)	Letty Dewar
9:45 – 10:45	2. Targeted Reforms (see link) Current status. Fit with Risk Profiling Report & Round Table feed-back looking for common definitions for certain terminology, certain prescribed core questions for the Risk Assessment Questionnaire, proficiency requirements for validation of risk profiling questionnaires. Include discussion on targeted reform responses.	Debra Foubert Maye Mouftah Erin Seed
10:45 – 11:00	Break
11:00 – 11:45	3. Panel Discussion (see link) Risk Profiling/Targeted Reforms KYC and KYP	Neil Gross
11:45 – 12:00	4. OSC Director – Introduction	John Mountain
12:00 – 12:30	Lunch
12:30 – 12:45	5. Investor Office Update	Tyler Fleming Denise Morris
12:45 – 1:30	6. Panel Discussion (attachment) Letter to Minister Sousa	All members
1:30 – 2:00	7. OSC Directors – Introduction	Debra Foubert Naizam Kanji
2:00 – 2:30	8. FAIR Update on Elder Care Report (attachment)	Marian Passmore
2:30 – 3:00	9. Priorities and Other Business (attachment) Follow up on status of Statutory BI Standard development at Ministerial level	All members

November 16, 2017 - Investor Advisory Panel - Agenda