September 23, 2021 - Investor Advisory Panel - Agenda

Meeting Date:

Thursday, September 23, 2021  9:30 am – 2:00 pm
Location:

Video Conference
Members:

Neil Gross (Chair), Patti Best, Daniel Brunet, Brigitte Catellier, Serge Kalloghlian, Supriya Kapoor, Ivy Lam, Harvey Naglie, Leslie Wood
Invitees:

Tyler Fleming - Director, Investor Office, OSC
Paola Cifelli - Manager, Policy and Initiatives, Investor Office, OSC
Caroline Cakebread - IAP Consultant Andrew Schrumm – Senior Advisor, Regulatory Strategy and Research, OSC
 Deana Djurdjevic – Chief Administrative Officer, OSC 
Debra Foubert – Director, Compliance and Registrant Regulation, OSC
Jeff Kehoe – Director, Enforcement, OSC
Jo-Anne Matear – Manager, Corporate Finance, OSC
Lesley Byrne – Manager, Investor Engagement and Outreach, Investor Office, OSC
Leslie Byberg – Executive Director, OSC 
Levin Karg – Manager, Modernizing Regulation, Office of Economic Growth and Innovation, OSC
Michael Tracey – Manager, Investor Research and Behavioural Insights, Investor Office, OSC
Naizam Kanji – General Counsel, OSC
Paul Redman – Director, Regulatory Strategy and Research & Chief Economist, OSC
Raymond Chan – Director, Investment Funds and Structured Products, OSC
Sonny Randhawa – Director, Corporate Finance, OSC
Stephen Rotstein – Director, Global and Domestic Affairs, OSC 
Susan Greenglass – Director, Market Regulation, OSC
Winnie Sanjoto – Manager, Corporate Finance, OSC

 

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s report

Neil Gross

9:45 – 10:00

2. Investor Office update

Tyler Fleming

10:00 – 10:30

3. Planning session – IAP meeting with Commissioners

All members

10:30 – 11:00

4. CSA Position Paper on SRO framework

All members

11:00 – 11:30

5. Projects and consultations:

  • IIROC competency profiles – Directors, Executives, UDPs, CCOs and CFOs (see attachments)
  • IRC mandates
  • Digital Engagement Practices (see attachments)
  • Horizon (see attachments)
  • Canadian Public Accountability Board consultation paper (see attachments)

All members

11:30 – 12:00

6. Follow-up items:     

  • IOSCO report on AI and Machine Learning (see attachments)
  • Fund performance reporting for ESG

All members

12:00 – 12:30

7. LUNCH

 

12:30 – 1:00

8. Administration and Other Business

All members

1:00 – 2:00

9. Horizon Report – preliminary discussions with members of OSC Executive and Senior Management

All members

 

FUTURE 2021 MEETING DATES:

Thursday October 21, 2021

Thursday November 18, 2021

Thursday December 9, 2021