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November 19, 2015 - Investor Advisory Panel - Agenda

November 19, 2015

INVESTOR ADVISORY PANEL

MEETING AGENDA

Meeting Date:		Thursday, November 19, 2015, 9:30 am – 1:30 pm

Location:		Ontario Securities Commission, 20 Queen Street West Toronto Room, 20th Floor

Members:		Ursula Menke (Chair), Connie Craddock, Letty Dewar, Harold Geller, Ken Kivenko, Alison Knight, Louise Tardif

Invitees:		Pat Chaukos, Manager, Compliance and Registrant Regulation Joanne De Laurentiis, President and CEO, The Investment Funds Institute of Canada Jan Dymond, Vice President, Public Affairs, The Investment Funds Institute of Canada Chantal Mainville, Senior Legal Counsel, Investment Funds and Structured Products Dennis Yanchus, Senior Economist, Strategy and Operations Paul Redman, Principal Economist, Strategy and Operations Kelly Gorman, Deputy Director, Enforcement Heidi Franken, Senior Forensic Accountant, Enforcement Tyler Fleming, Director, Office of Investor Policy, Education and Outreach Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s remarks	Ursula Menke
9:45 – 10:00	2. OSC Staff Notice 33-746 update - attachment	Ursula Menke
10:00 – 10:45	3. IFIC update	Pat Chaukos
10:45 – 11:30	4. Professor Cumming’s Report update - attachment	Joanne De Laurentiis Jan Dymond
11:30 – 12:00	5. Proposed OSC Policy 15-601 – Whistleblower Program - attachments	Chantal Mainville Dennis Yanchus Paul Redman
12:00	Lunch delivered
12:00 – 12:30	6. Expert Advisory Panel’s Preliminary Position Paper discussion - attachment	All members
12:30 – 12:45	7. IIROC Notice – Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member – attachment	All members
12:45 – 1:05	8. FAIR Conference/MFDA Seniors Summit debrief - attachment	Ken Kivenko
1:05 – 1:20	9. IAP inbox - attachments	All members
1:20 – 1:30	10. Other business	All members
FUTURE MEETINGS:
Thursday, December 10, 2015: 9:30 am – 1:30 pm
FUTURE MEETINGS:
Thursday, January 21, 2016: 9:30am – 1:30pm Thursday, February 18, 2016: 9:30am – 1:30pm Thursday, March 17,2016: 9:30am – 1:30pm Thursday, April 21, 2016: 9:30am – 1:30pm Thursday, May 19, 2016: 9:30am – 1:30pm Thursday, June 16, 2016: 9:30am – 1:30pm Thursday, July 21, 2016: 9:30am – 1:30pm Thursday, August 18, 2016: 9:30am – 1:30pm Thursday, September 15, 2016: 9:30am – 1:30pm Thursday, October 20, 2016: 9:30am – 1:30pm Thursday, November 17, 2016: 9:30am – 1:30pm Thursday, December 15, 2016: 9:30am – 1:30pm