September 15, 2016 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA

Meeting Date:

Thursday, September 15, 2016, 9:30 am – 2:15 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 (via conference)


Invitees:

Susan Greenglass, Director, Market Regulation
Antoinette Leung, Manager, Market Regulation
Joseph Della Manna, Senior Accountant, Market Regulation
Vera Nunes, Manager, Investment Funds and Structured Products
Irene Lee, Senior Legal Counsel, Investment Funds and Structured Products
Viraf Nania, Senior Accountant, Investment Funds and Structured Products
Abid Zaman, Accountant, Investment Funds and Structured Products,
Dennis Yanchus, Senior Economist, Strategy and Operations
Carolyn Shaw-Rimmington, Director, Communications
Susan Swayze, Senior Editorial Advisor, Communications
Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45
  1. Chair’s remarks

Ursula Menke

9:45 – 10:15
  1. CSA’s Oversight Review of IIROC

Susan Greenglass
Antoinette Leung
Joseph Della Manna

10:15 – 10:45
  1. CSA Mutual Fund Risk Classification Methodology

Vera Nunes
Irene Lee
Viraf Nania
Abid Zaman
Dennis Yanchus

10:45 – 11:15
  1. CSA Three-Year Business Plan – attachment

All members

11:15 – 11:45
  1. OSC 2016 Annual Report - attachments

All members
Carolyn Shaw-Rimmington
Susan Swayze

11:45

Lunch delivered

11:45 – 12:00
  1. OSC Tax Ruling Request - attachment

All members

12:00 – 12:15
  1. OBSI

Tyler Fleming
Denise Morris

12:15 – 12:30
  1. Investor Office Update

Tyler Fleming

12:30 – 1:15
  1. CSA Consultation Paper 33-404 – Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients – attachment

All members

1:15 – 1:30
  1. IIROC Comment Letter - attachments

All members

1:30 – 1:45
  1. Capital Markets Authority Implementation Organization – attachment

All members

1:45 – 2:00
  1. Risk Profiling Roundtable Update

Connie Craddock

2:00 – 2:15
  1. Other business

All members

FUTURE MEETINGS:

Thursday, October 20, 2016: 9:30am – 3:00pm
Thursday, November 17, 2016: 9:30am – 3:00pm
Thursday, December 8, 2016: 9:30am – 3:00pm