CSA Roundtable on Proposed Best Interest and Targeted Reforms

OSC Roundtable Past Event

Dec 06, 2016

Roundtable on CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward Their Clients. The roundtable will feature two stakeholder panel discussions: one on the proposed best interest standard and the other on the proposed targeted reforms, and will focus on key themes emerging from the comment letters.

Transcript

Time	Topic	Panellists
12:30 – 1:00 p.m.	Arrival/Check-in
1:00 – 1:15 p.m.	Introduction and Opening Remarks (Audio)	Maureen Jensen (OSC Chair) Monica Kowal (OSC Vice-Chair)
1:15 – 2:45 p.m.	Panel 1: Proposed regulatory best interest standard (Audio)	Monica Kowal - Moderator (OSC Vice-Chair) Randy Cass (Nest Wealth Asset Management Inc.) Lawrence Haber (Corporate director and former industry executive) Margaret McNee (McMillan LLP) Ursula Menke (Investor Advisory Panel) Peter Moulson (Wealth Management Compliance, CIBC) Ian Russell (Investment Industry Association of Canada)
2:45 – 3:00 p.m.	Break
3:00 – 4:25 p.m.	Panel 2: Proposed targeted reforms (Audio)	Grant Vingoe - Moderator (OSC Vice-Chair) Eric Adelson (Invesco Canada Ltd.) Paul Bourque (Investment Funds Institute of Canada) Rosemary Chan (Global Wealth Management, Compliance, Scotiabank) Gerry Rocchi (Corporate director and former industry executive) Ellen Roseman (Canadian Foundation for Advancement of Investor Rights (FAIR Canada) and Journalist) Prema Thiele (Borden Ladner Gervais LLP)
4:25 – 4:30 p.m.	Closing (Audio)	Debra Foubert (Director, Compliance and Registrant Regulation, OSC)