CSA Roundtable on the Proposed Derivatives Business Conduct Rule

CSA event Past Event

Sep 28, 2022

Virtual event

The Canadian Securities Administrators (CSA) will host a virtual roundtable on the proposed derivatives business conduct rule.

The proposed derivatives business conduct rule is the CSA's next step towards modernizing the regulatory framework for the OTC derivatives market in Canada. This virtual roundtable will explore a number of regulatory, implementation and compliance issues related to the CSA's plan to adopt a final rule in the upcoming year.

The roundtable will be held on September 28, 2022 from 10:00 a.m. – 12:00 p.m. ET.

The roundtable panellists are:

Industry Panel

Gregory Aronson, Senior Counsel, Derivatives, TD Bank Group
Élodie Fleury, Managing Director, Regulatory Change Management, Business Transformation and Governance – Financial Markets, National Bank of Canada
Melissa Ghislanzoni, General Counsel, Portfolio Management Association of Canada
Emily O’Donohue, Director and Associate General Counsel, Ontario Teachers’ Pension Plan

Regulatory Panel

Alison Beer, Senior Legal Counsel, Derivatives, Ontario Securities Commission
Michael Brady, Deputy Director, British Columbia Securities Commission
Janice Cherniak, Senior Legal Counsel, Alberta Securities Commission
Debra Foubert, Director, Compliance and Registrant Regulation Branch, Ontario Securities Commission
Stephen Hanks, Manager, Markets Policy, Financial Conduct Authority
Tim Reibetanz, Senior Legal Counsel, Derivatives, Ontario Securities Commission
Tammy Wong, Associate Director, OTC Derivatives, National Futures Association

The panels will be moderated by Kevin Fine, Director, Derivatives, Ontario Securities Commission, and Dominique Martin, Director, Oversight of Trading Activities, Autorité des marchés financiers. Attendees will have an opportunity to direct questions to the panels.

To register please click here.

Time	Topic	Panellists
10:00 - 10:20 am	Introduction and Opening Remarks	Stan Magidson, Chair, Canadian Securities Administrators Grant Vingoe, Chief Executive Officer, Ontario Securities Commission
10:20 – 11:05 am	Industry Panel Discussion Discussion Topics: Derivatives Business Conduct Rule - Reaction by buy-side and sell-side to the latest publication	Moderator: Kevin Fine, Director, Derivatives, Ontario Securities Commission Gregory Aronson, Senior Counsel, Derivatives, TD Bank Group Élodie Fleury, Managing Director, Regulatory Change Management, Business Transformation and Governance – Financial Markets, National Bank of Canada Melissa Ghislanzoni, General Counsel, Portfolio Management Association of Canada Emily O’Donohue, Director and Associate General Counsel, Ontario Teachers’ Pension Plan
11:05 – 11:50 am	Regulatory Panel Discussion with Q&A Period Discussion Topics: Status update on OTC derivatives rules Overview of implementation and compliance re derivatives business conduct rule Q&A with Regulatory Panel	Moderator: Dominique Martin - Director, Oversight of Trading Activities, Autorité des marchés financiers Alison Beer, Senior Legal Counsel, Derivatives, Ontario Securities Commission Michael Brady, Deputy Director, Derivatives, British Columbia Securities Commission Janice Cherniak, Senior Legal Counsel, Alberta Securities Commission Debra Foubert, Director, Compliance and Registrant Regulation Branch, Ontario Securities Commission Stephen Hanks, Manager, Markets Policy, Financial Conduct Authority Tim Reibetanz, Senior Legal Counsel, Derivatives, Ontario Securities Commission Tammy Wong, Associate Director, OTC Derivatives, National Futures Association
11:50 - 12:00 pm	Closing Remarks	Dominique Martin - Director, Oversight of Trading Activities, Autorité des marchés financiers