October 25, 2018

Meeting Date:		Thursday, October 25th, 2018, 9:30 am – 3:00 pm

Location:		Ontario Securities Commission, 20 Queen Street West The Grand Meeting Room, 18th Floor

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

Invitees:		Tyler Fleming, Director, Investor Office Denise Morris, Manager, Policy, Investor Office Caroline Cakebread, IAP Consultant Mark Pinch, Associate Chief Accountant, Chief Accountant’s Office, OSC Alex Fisher, Senior Accountant, Chief Accountant’s Office, OSC Pat Dunwoody, Executive Director, Canadian ETF Association

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s Remarks	Neil Gross
9:45 – 10:00	2. Investor Office Update	Tyler Fleming Denise Morris
10:00 – 10:20	3. Research on the extent of advice currently being provided to small investors	All members
10:20 – 10:45	4. Letter re MFDA Oversight	All members
10:45 – 11:00	Break
11:00 – 11:30	5. OSC Enforcement Proceedings Against BDO (attachment)	All members
11:30 – 12:00	6. Proposals on Non-GAAP and Other Financial Measures	Mark Pinch Alex Fisher
12:00 – 12:30	Lunch
12:30 – 1:15	7. Zero-Fee ETFs	Pat Dunwoody
1:15 – 1:35	8. AMF’s findings re errors in determining fund risk ratings (attachment)	All members
1:35 – 1:55	9. Comment letter on CSA proposals re DSCs and trailer fees paid to OEO firms	All members
1:55 – 2:15	10. Remediation programs – oversight and leveraging settlements	All members
2:15 – 2:35	11. Collaboration projects: (attachment) Risk profile Single complaint portal	All members
2:35 – 3:00	12. Other Business

FUTURE 2018 MEETING DATES:
Thursday, November 15, 2018: 9:30am – 3:00 pm	Thursday, December 6, 2018: 9:30am – 3:00 pm

October 25, 2018 - Investor Advisory Panel - Agenda