November 17, 2016 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA

Meeting Date:

Thursday, November 17, 2016, 9:30 am – 1:50 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

Invitees:

Susan Greenglass, Director, Market Regulation
Joseph Della Manna, Senior Accountant, Market Regulation
Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Investor Office
Caroline Cakebread, IAP Consultant

 

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

 1. Chair’s remarks

Ursula Menke

9:45 – 10:30

 2. IIROC discussion - attachments

Connie Craddock

10:30 – 11:00

 3. IIROC Notice – Guidance on Order Execution Only Services and Activities - attachments

All members

11:00 – 12:30

 4. 2017 IAP Work Program – all members are to suggest one or two items that they feel should be looked at on a priority basis

All members

11:45

Lunch delivered

12:30 – 1:00

 5. Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) - attachments

All members

1:00 – 1:20

 8. MFDA Oversight

Susan Greenglass
Joseph Della Manna

1:20 – 1:35

 9. Investor Office Update

Tyler Fleming

1:35 – 1:50

 10. Other business

All members

FUTURE MEETINGS

Thursday, December 8, 2016: 9:30am – 3:00pm

2017 DATES

Thursday, January 19, 2017: 9:30am – 3:00pm
Thursday, February 16, 2017: 9:30am – 3:00pm
Thursday, March 16, 2017: 9:30am – 3:00pm
Thursday, April 20, 2017: 9:30am – 3:0pm
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