October 10, 2019 - Investor Advisory Panel - Agenda

Meeting Date:

Thursday, October 10, 2019   9:30 am - 3:00 pm
Location:

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

Neil Gross (Chair), Jaqueline Allen, Paul Bates, Daniel Brunet, Patti Best, Malcolm Heins,
Harvey Naglie, Ilana Singer
Invitees:

Tyler Fleming, Director - OSC Investor Office
Daniella Laise, Manager Policy - OSC Investor Office
Paul Hayward, Sr. Legal Counsel - OSC Compliance & Registrant Regulation
Alison Beer, Legal Counsel - OSC Derivatives
Ken Kivenko - Kenmar
Kathleen Bock, Principal & Head of the Americas Region - Vanguard Investments
Mario Cianfarani, Head of Institutional & Retirement Distribution - Vanguard Investments
Michele McCarthy - Independent Review Inc.
Raymond Chan, Director - OSC Investment Funds & Structured Products
Stephen Paglia, Manager - OSC Investment Funds & Structured Products
Jeff Kehoe, Director - OSC Enforcement
Regrets:

Caroline Cakebread, IAP Consultant
 

                                   


TIME

AGENDA ITEMS

PRESENTERS

9:30 - 9:40

 1. Chair’s Report

Neil Gross

9:40 - 10:00

 2. Kenmar Associates

Ken Kivenko
(by conference call)

10:00 - 10:45

 3. Bans on Sale of Certain Investment Products to Retail Investors

Paul Hayward
Alison Beer

10:45 - 11:00

 4. Investor Office Update

Tyler Fleming
Daniella Laise

11:00 - 12:00

 5. Vanguard

Kathleen Bock
Mario Cianfarani

TIME

AGENDA ITEMS

PRESENTERS

12:00 - 12:30

 6. LUNCH

12:30 - 1:00

 7. Client Focused Reforms

Discussion will continue under Other Business as necessary

Neil Gross

1:00 - 1:45

 8. Independent Review Committees (IRCs)

Michele McCarthy

1:45 - 2:30

 9. Risk Rating for Liquid Alt Funds

CSA Proposals to Reduce of Regulatory Burden for Investment Funds

Raymond Chan
Stephen Paglia

2:30 - 3:15

 10. Restitution Initiatives

Jeff Kehoe

3:15 - 3:30

 11. Other Business

All Members



 

FUTURE 2019 MEETING DATES:

Thursday, November 14, 2019    9:30 – 3:00 pm

Thursday, December 12, 2019    9:30 – 3:00 pm