![OSC Dialogue 2019](/sites/default/files/styles/pattern_hero_desktop_1x/public/2021-07/main-bg-2019.jpg?h=091cc47e&itok=9cAkEV5e)
OSC Dialogue 2019
Regulation for Confidence and Growth
November 21, 2019
About
Confidence in capital markets underpins the ability to create value, build wealth and fuel innovation.
Join us at OSC Dialogue 2019 as financial industry leaders, senior regulators and investors discuss collaborative strategies to drive efficiency and economic growth, while fostering market confidence.
Speakers
![Hon. Rod Phillips Dialogue](/sites/default/files/styles/800x600/public/2021-07/minister-dialogue.jpg?itok=PvTI4V4n)
The Honourable Rod Phillips was sworn in as Ontario's Minister of the Environment, Conservation and Parks on June 29, 2018.
On June 20, 2019, Minister Phillips was sworn in as Ontario’s Minister of Finance.
Minister Phillips, MPP for Ajax, assumes his current role following a successful business career. Most recently, he was Chair of Afiniti Canada, a global artificial intelligence company, and Postmedia, Canada’s largest news media company.
The minister is a former President and CEO of the Ontario Lottery and Gaming Corporation, and of Shepell.fgi, a Canadian-based international employee health company. As well, he was volunteer chair of CivicAction, which brings together business, labour and community leaders to address challenges facing the Greater Toronto and Hamilton Area.
The minister has also served as chief of staff in the offices of then-Minister of Labour Elizabeth Witmer and former Toronto Mayor Mel Lastman.
Born in Newmarket, the minister has an Honours BA in political science and English from the University of Western Ontario, and an MBA from Wilfrid Laurier University.
![Stephen S. Poloz Dialogue](/sites/default/files/styles/800x600/public/2021-07/poloz-dialogue.jpg?itok=usCpWarO)
Stephen S. Poloz was appointed Governor of the Bank of Canada, effective 3 June 2013, for a term of seven years. As Governor, he is also Chairman of the Board of Directors of the Bank and a member of the Board of Directors of the Bank for International Settlements (BIS). He is the current Chair of the BIS Audit Committee and former Chair of the Consultative Council for the Americas.
Born in Oshawa, Ontario, Mr. Poloz graduated from Queen’s University in 1978 with a bachelor’s degree in economics. He received a master’s degree in economics in 1979 and a PhD in economics in 1982, both from the University of Western Ontario. In 2017, he was awarded an Honorary Doctor of Laws degree from Trent University.
Mr. Poloz first joined the Bank of Canada in 1981 and occupied a range of increasingly senior positions over a 14-year span, culminating in his appointment as Chief of the Bank’s Research Department in 1992. After his departure from the Bank in 1995, he spent four years at BCA Research, where he served as managing editor of its flagship publication, The International Bank Credit Analyst.
Mr. Poloz joined Export Development Canada (EDC) in 1999 as Vice-President and Chief Economist. From 2008 to 2010, he was Senior Vice-President, Financing, with responsibility for all of EDC’s lending programs. In January 2011, he was appointed President and Chief Executive Officer of EDC, a position in which he served until his appointment as Governor of the Bank of Canada.
Mr. Poloz is a Certified International Trade Professional and a graduate of Columbia University’s Senior Executive Program. He has been a visiting scholar at the International Monetary Fund in Washington, D.C., and at the Economic Planning Agency in Tokyo, Japan. Mr. Poloz has taught economics at the University of Western Ontario, Concordia University and Queen’s School of Business. He is a past president of the Ottawa Economics Association.
Since 2013, Mr. Poloz has been a member of the Lawrence Centre Advisory Council and has served as chair of the Nominating Committee for the Community Foundation of Ottawa since 2014. He resides in Ottawa with his wife, Valerie. He has two children, Jessica and Nicholas, and he is a grandfather.
![Maureen Jensen](/sites/default/files/styles/800x600/public/2021-05/Maureen-Jensen-dialogue.jpg?itok=FRChdnfS)
Maureen Jensen is the Chair and Chief Executive Officer of the Ontario Securities Commission (OSC), which administers and enforces securities law in the capital markets of the province of Ontario.
Prior to her appointment as Chair and CEO, Ms. Jensen was the Executive Director and Chief Administrative Officer of the OSC. As the senior member of staff, she was responsible for coordinating and managing the organization’s day-to-day operations, including its enforcement, market regulation and compliance functions.
Before joining the OSC, Ms. Jensen was Senior Vice-President, Surveillance and Compliance at the Investment Industry Regulatory Organization of Canada (IIROC), the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.
Prior to the formation of IIROC in 2008, Ms. Jensen was President and CEO of Market Regulation Services Inc., the independent national market regulation services provider for Canadian equity markets.
Ms. Jensen has also held senior regulatory and business positions at the Toronto Stock Exchange and had a 20-year career in the mining industry, holding both executive and technical management positions with several resource companies. Ms. Jensen is Vice Chair of the Board of Directors of the Toronto Centre for Global Leadership in Financial Supervision. She is also a Trustee of the Royal Ontario Museum.
Ms. Jensen is a Registered Professional Geoscientist (P.Geo), holds the ICD.D designation and has a BSc. and Doctor of Laws (Honoris Causa).
![Joe Brusuelas Dialogue](/sites/default/files/styles/800x600/public/2021-07/brusuelas-dialogue.jpg?itok=1chIyb4m)
Joe Brusuelas provides macroeconomic perspective to help RSM clients anticipate and address the unique issues and challenges facing their businesses and the industries in which they operate. In 2015, he helped launch The Real Economy, the only monthly economic report focused on the middle market, and helps lead the firm’s cutting-edge Industry Eminence Program.
Prior to joining RSM as chief economist, Joe was a senior economist at Bloomberg, LP and the Bloomberg Briefs newsletter group. During that time, he was named one of the 26 economists to follow by the Huffington Post.
Joe has over 20 years of experience in finance and economics, with emphasis on analyzing U.S. monetary policy, labor markets, fiscal policy, economic indicators and the condition of the U.S. consumer.
![Beata Caranci Dialogue](/sites/default/files/styles/800x600/public/2021-07/caranci-dialogue.jpg?itok=m21dU_Nz)
Beata Caranci is the Chief Economist for TD Bank Group. She joined the bank in 2003 and leads an agile team of economists, tasked with delivering analysis and forecasts for TD's planning process, as well as the regulatory stress test exercises. The team delivers on a wide scope of research, covering the Canadian, U.S., and global economies. Beata serves on a number of committees within TD, including the retirement investment committee, as well as being a member of C.D Howe's Monetary Policy Council and the American Bankers Economic Advisory Council.
Beata is a passionate supporter of TD’s diversity initiatives and has dedicated more than a decade to researching and driving awareness among Canadian policymakers on the labour market friction experienced by women. Her research report, “Get on Board Corporate Canada,” helped influence the Ontario Securities Commission’s rule amendments on disclosure of women on boards and in senior management. Recently, Beata has focused on offering policy prescriptions to counter systemic biases within the educational and workplace environments that are impacting women in STEM fields.
Beata holds a Master’s Degree in Business Economics. Prior to joining TD, she worked nearly four years on a trading floor providing economic analysis to foreign exchange, money market and bond desks.
![Eric Lascelles Dialogue](/sites/default/files/styles/800x600/public/2021-07/lascelles-dialogue.jpg?itok=SElFT9Qe)
Eric is the Chief Economist for RBC Global Asset Management Inc. (RBC GAM), Canada’s largest asset manager. He maintains the firm’s global economic forecast and advises its portfolio managers on key themes and risks. Eric is also a member of the RBC Investment Strategy Committee (RISC), which is responsible for the firm’s global asset mix recommendations.
Eric makes regular presentations both within and outside of RBC GAM. He is also a frequent media commentator on global economic and financial trends, appearing regularly on CNBC, BNN and other networks. Eric’s written editorials have appeared in The Globe and Mail, National Post, The Wall Street Journal and Financial Times.
Prior to joining RBC GAM, Eric spent close to a decade at another large financial institution. Before that, he was a researcher at Statistics Canada. Externally, he serves on the C.D. Howe Institute’s Business Cycle Council, the group that dates recessions and other economic turning points in Canada. He is also on the board of the Toronto Association of Business and Economics.
Eric holds a graduate degree in Economics from Queen's University as well as a Bachelor of Economics from Princeton University.
![Benjamin Tal](/sites/default/files/styles/800x600/public/2021-05/tal-dialogue.jpg?itok=Zn__wQOb)
Mr. Tal is responsible for analyzing economic developments and their implications for North American fixed income, equity, foreign exchange and commodities markets. He also acts in an advisory capacity to bank officers on issues related to wealth management, household/corporate credit and risk.
Well-known for his ground-breaking published research on topics such as labour market dynamics, real estate, credit markets, international trade and business economic conditions, Mr. Tal not only contributes to the conversation, but frequently sets the agenda.
He has close to 20 years’ experience in the private sector advising clients, industry leaders, corporate boards, trade associations, and governments on economic and financial issues.
National and global media regularly seek him out for his insight and analysis on economic issues that impact financial markets, consumers, corporations and public policy. He is also a frequent lecturer in the economic programs of various Canadian universities.
Mr. Tal is a member of the Economic Committee of The Canadian Chamber of Commerce, The Economic Development Committee of the Toronto Board of Trade. He is also a member of the board of Governors of Junior Achievement of Central Ontario, and a board member of the Toronto Financial Services Alliance.
![Cathie Armour Dialogue](/sites/default/files/styles/800x600/public/2021-07/armour-dialogue.jpg?itok=9JxFW1mr)
Cathie Armour is one of the Commissioners of the Australian Securities and Investments Commission ("ASIC"). Cathie began as a Commissioner on 3 June 2013 and her term continues until June 2022.
The Commission is responsible for ASIC's performance as Australia's integrated corporate, financial markets, financial services and consumer credit regulator.
Cathie is the chair of ASIC's Regulatory Issues Committee. Cathie works closely with the ASIC teams responsible for regulating market infrastructure, market surveillance, supervision of market intermediaries and the enforcement of laws relating to market integrity.
Cathie's experience before ASIC was in legal counsel leadership roles in international financial institutions. She was General Counsel for Macquarie Capital and an Executive Director of Macquarie Group. She began her career in private legal practice and has worked for law firms in Sydney and New York.
Cathie is a Graduate of the Australian Institute of Company Directors. She is also a member of Chief Executive Women.
![Elisabeth Roegele Dialogue](/sites/default/files/styles/800x600/public/2021-07/roegele-dialogue.jpg?itok=Q29WSwhn)
Elisabeth Roegele was appointed as Chief Executive Director of Securities Supervision at the Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin) in May 2015. Before that, she was General Counsel and Head of the Corporate Centre for legal affairs and taxes on products at DekaBank Deutsche Girozentrale from December 2006 on. From 2004 to December 2006 she was head of the division for ad hoc disclosure and directors dealings at BaFin.
Before joining BaFin, Roegele’s other jobs included being a member of the management board of the Stuttgart Stock Exchange, where she was responsible for market regulation, information technology, personnel matters and the development of derivatives trading. Prior to that, she worked in the legal department of Bausparkasse Schwäbisch Hall and at the Exchange Supervisory Authority of the Hessian Ministry of Economics. She is a fully qualified lawyer and additionally holds a Masters Degree in European and International Business Law from the University of St. Gallen in Switzerland.
As Member of the Executive Board of BaFin, Roegele is also a member of the Board of Supervisors of the European Securities and Markets Authority (ESMA) and of the Board of the International Organization of Securities Commissions (IOSCO).
![Jeremy Rudin](/sites/default/files/styles/800x600/public/2021-05/jeremy-rudin-dialogue.jpg?itok=42O1_bA7)
Jeremy Rudin was appointed Superintendent of Financial Institutions in June 2014, for a seven-year term.
Prior to joining OSFI, Mr. Rudin served for six years as Assistant Deputy Minister, Financial Sector Policy Branch, at the Department of Finance. In this role, he led the development of policy measures to support access to credit during the global financial crisis and contributed to many other financial sector policy issues.
In a public service career that has spanned more than 20 years, Mr. Rudin has held other senior roles in the Economic and Fiscal Policy Branch and Financial Sector Policy Branch at the Department of Finance, and spent a year at the Bank of Canada as Director, Funds Management, in the Financial Markets Department.
Before joining the public service, Mr. Rudin taught economics at the University of British Columbia and at Queen’s University.
As Superintendent, Mr. Rudin represents Canada on the Financial Stability Board Steering Committee and the Standing Committee on Supervisory and Regulatory Cooperation. He serves on the Council of Governors of the Canadian Public Accountability Board and the board of directors of the Canada Deposit Insurance Corporation.
Mr. Rudin is also a member of the board of directors of the Toronto Centre, a not-for-profit organization that promotes financial stability and access to financial services, particularly in emerging markets and low-income countries.
Mr. Rudin earned a B.A. from the University of Toronto, an M.C.R.P. from Harvard University and a Ph.D. in economics from Stanford University.
![Robert W. Cook Dialogue](/sites/default/files/styles/800x600/public/2021-07/cook-dialogue.jpg?itok=ogjny9pt)
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.
From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings and new product listings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure.
Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of Cleary, Gottlieb, Steen & Hamilton, LLP. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.
Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.
![Tim Moseley Dialogue](/sites/default/files/styles/800x600/public/2021-07/moseley-dialogue.jpg?itok=cN6hsVa7)
Tim Moseley was appointed a Vice-Chair of the Ontario Securities Commission in 2017, after three years as a Part-time Member of the Commission. He was previously a Senior Vice-President and the global Chief Compliance Officer for the Canadian Imperial Bank of Commerce from 2004 to 2014. Before that, he headed the CIBC’s Canadian compliance operations and had led the litigation groups of CIBC and Merrill Lynch Canada.
From 1995 to 2001, he was litigation counsel in the OSC’s Enforcement branch, with the last two years as Manager of Litigation.
Mr. Moseley is a regular guest lecturer in administrative law in the University of Toronto’s GPLLM and JD programmes, and contributes to adjudicator training programmes offered by Osgoode Professional Development and the Society of Ontario Adjudicators and Regulators. He is Co-Chair of the Laskin Moot, the national bilingual moot court competition in administrative law, and has been a regular guest lecturer on business ethics in the MBA programmes at Queen’s University and York University.
Mr. Moseley holds a B.A. and an LL.B. from University of Toronto, an M.B.A. from Queen’s University, and the ICD.D designation from the Institute of Corporate Directors.
![Raymond Chan](/sites/default/files/styles/800x600/public/2021-05/raymond-chan-dialogue.jpg?itok=tcoMCIlb)
Raymond Chan is the Director of the Investment Funds and Structured Products Branch of the Ontario Securities Commission (OSC). He is responsible for regulatory policies on the retail distribution, disclosure and management of investment fund issuers and linked note securities. In his role, Raymond makes key decisions on the issuance of prospectus receipts and exemptive relief. Raymond is a member of the Committee on Investment Management of the International Organization of Securities Commissions. He also serves as a member of the FSB SRC – Working Group on Non-Bank Financial Intermediation (NBWG) of the Financial Stability Board.
Raymond joined the OSC in 2001 as an accountant. He is a CFA charterholder, and he graduated with a master’s degree in Accounting and a bachelor’s degree in Mathematics from the University of Waterloo.
![Pat Chaukos Dialogue](/sites/default/files/styles/800x600/public/2021-07/chaukos-dialogue.jpg?itok=jS9_7C6R)
Pat Chaukos leads the Ontario Securities Commission’s initiative to support fintech innovation, the OSC LaunchPad (osclaunchpad.ca). OSC LaunchPad engages with fintech businesses, assists them in navigating the requirements and strives to keep regulation in step with digital innovation.
Pat has extensive experience with novel fintech businesses. Before leading OSC LaunchPad, Pat managed a team that focused on the exempt market, working with many new business models including online trading platforms, lending platforms and crowdfunding portals. Before joining the OSC, Pat was Vice President, Risk Management & Compliance at Royal Mutual Funds and RBC Investments and has practiced as both a lawyer and a chartered accountant on Bay Street.
![Kevin Fine Dialogue](/sites/default/files/styles/800x600/public/2021-07/fine-dialogue.jpg?itok=ZM7rO2Lv)
Kevin Fine has been the Director of the Derivatives Branch at the Ontario Securities Commission since 2011. As part of his duties at the OSC he participates in a variety of national and international committees currently working on introduction and oversight of regulation of over the counter derivatives markets. He is the long-time co-chair of the CSA Derivatives Committee. Kevin is also past chair of the international Over the Counter Derivatives Regulators Forum (the “ODRF”), one of the past co-chairs of the IOSCO Task Force on OTC Derivatives and has led several international workstreams relating to OTC derivatives regulation.
Mr. Fine was previously Associate General Counsel and Managing Director, Retail Investor Solutions Group and Securitization, for Bank of Montreal Financial Group of Companies ("BMOFG") and had almost 20 years experience working in OTC derivatives matters for BMOFG.
![Tyler Fleming Dialogue](/sites/default/files/styles/800x600/public/2021-07/fleming-dialogue.jpg?itok=wb8hJWXv)
Tyler Fleming is the Director of the Investor Office at the Ontario Securities Commission. A regulatory operations branch of the OSC, the Investor Office sets the strategic direction and leads the OSC’s efforts in investor engagement, education, outreach and research. The Investor Office also has a policy and oversight function and provides leadership in the area of behavioural insights and improving the investor experience.
Prior to joining the OSC, Tyler worked at a well-known national consulting firm and at the Ombudsman for Banking Services and Investments.
![Debra Foubert Dialogue](/sites/default/files/styles/800x600/public/2021-07/foubert-dialogue.jpg?itok=5_KRE4RH)
Debra Foubert is the Director, Compliance and Registrant Regulation (CRR) at the Ontario Securities Commission (OSC). She has over 25 years of experience in compliance and regulatory oversight in Canada and the United States. She joined the OSC in October 2012. The CRR Branch is responsible for the initial and ongoing registration and compliance oversight of firms and individuals who advise or trade in securities and firms that manage investment funds in Ontario.
Prior to joining the OSC, Debra held the position of Associate Vice President, Compliance for TD Bank Group with compliance oversight responsibility for the investment management businesses. She also held progressively senior compliance roles at RBC Financial Group. In 2010, Debra was seconded to the OSC for a one-year term as Director, Derivatives Branch.
While in the United States she started her career at the Commodity Futures Trading Commission and then moved to the private sector in compliance roles at several U.S. firms.
Debra has a Bachelor of Business Administration from the University of Toledo and a Juris Doctor from the University of Toledo College of Law.
![Susan Greenglass Dialogue](/sites/default/files/styles/800x600/public/2021-07/greenglass-dialogue.jpg?itok=V-fZrOAj)
Susan Greenglass is the Director of the Market Regulation Branch at the Ontario Securities Commission. The Market Regulation Branch is responsible for the oversight of marketplaces, self-regulatory organizations and clearing agencies and the development of policy and rule initiatives related to market structure, post trade policy and fixed income. Susan is the Chair of the CSA SRO Oversight Committee and the OSC’s Market Structure Advisory Committee.
Susan joined the staff of the Ontario Securities Commission in 1997. Previously, she was a law clerk at the Ontario Court of Justice (General Division). She is a graduate of Osgoode Hall Law School and is a member of the Ontario Bar.
![Naizam Kanji](/sites/default/files/styles/800x600/public/2021-05/naizam-kanji-dialogue.jpg?itok=lORn3nQc)
Naizam Kanji is Director of the Office of Mergers & Acquisitions (OMA) at the Ontario Securities Commission. The OMA is responsible for the securities regulation related to take-over bids and defensive tactics, issuer bids, related party transactions, business combinations, shareholder rights and proxy contests. Naizam has been with the Ontario Securities Commission since 2000 and was previously Deputy Director of the Corporate Finance Branch with primary responsibility for mergers and acquisitions.
Naizam has been a frequent speaker on mergers and acquisitions at conferences and law schools in Canada and the United States. He has also written papers on regulatory aspects of mergers and acquisitions law.
As of January 2019, Naizam is serving as Special Advisor to the Chair on Regulatory Burden Reduction.
![Jeff Kehoe Dialogue](/sites/default/files/styles/800x600/public/2021-07/kehoe-dialogue.jpg?itok=5N8oxBpu)
Jeff Kehoe is currently the Director of Enforcement at the Ontario Securities Commission. Prior to joining the OSC, he was Managing Partner and General Counsel at Difference Capital Inc. He has over a decade of experience overseeing the Canadian Capital Markets as Director and Vice- President of Enforcement at the Investment Industry Regulatory Organization of Canada (IIROC). Prior to IIROC, he served as a Crown Attorney and Department of Justice Crown Counsel.
Mr. Kehoe has a Bachelor of Laws degree from the University of Windsor, a Juris Doctor degree from the University of Detroit Mercy, a Master of Laws degree specializing in securities law from Osgoode Hall Law School, a Certified Regulatory and Compliance Professional certificate from Wharton University of Pennsylvania and has received securities regulation training from Harvard.
He currently serves on both private and public boards including charitable non-profit organizations. He completed the Rotman Institute Corporate Directors program (lCD. D).
![Sonny Randhawa](/sites/default/files/styles/800x600/public/2021-05/sonny-randhawa-dialogue.jpg?itok=MT0_ZwDB)
Sonny Randhawa is Director of Corporate Finance at the Ontario Securities Commission. His team is responsible for regulating corporate issuers and leading issuer-related policy initiatives. The branch also monitors compliance through ongoing continuous disclosure reviews and establishes the regulatory framework for securities offerings in the public and exempt markets. Policy development and supervision activities for insider reporting and credit rating agencies are also covered by the branch.
Since 2009, Sonny has been in various management roles with the OSC and has over 20 years of securities related experience. Prior to joining the OSC, Sonny was a Senior Manager at a multi-national accounting and advisory firm. He is a Chartered Professional Accountant, Chartered Accountant and Certified Public Accountant (Illinois).
Moderators
![Paul Redman](/sites/default/files/styles/800x600/public/2021-05/paul-redman-dialogue.jpg?itok=OLAl5I-_)
Paul Redman is the Chief Economist and Head of Research at the Ontario Securities Commission. Paul leads a team of economists, research analysts and policy professionals with responsibility for providing the Commission and its staff with expert analysis on the economic implications of regulatory policy and financial market developments.
Paul is currently the Chair of IOSCO’s Committee on Emerging Risk (CER). The IOSCO CER provides a platform for securities market regulatory experts and economists to discuss emerging risks and market developments. Projects undertaken by the CER equip regulators with the appropriate tools, data and information needed to identify, monitor and mitigate emerging risks in their jurisdictions.
He has more than 20 years’ experience in the financial services industry. In addition to his experience in regulation/policy he held roles at a major investment dealer, a global financial information provider and one of Canada’s largest insurance companies.
![Andrew Willis Dialogue](/sites/default/files/styles/800x600/public/2021-07/willis-dialogue.jpg?itok=_QcCQRZb)
Andrew Willis is a business columnist for the Report on Business at The Globe and Mail, based in Toronto.
He has been in business communications and journalism for three decades. From 2010 to 2016, he was senior vice president of communications for Brookfield Asset Management, a leading global alternative asset management company. Andrew's career in journalism included stints at a number of publications, including writing the Streetwise column at the Globe and Mail from 1995 to 2010.
He holds a Bachelor of Arts degree from the University of Western Ontario and a Bachelor of Arts degree in Journalism from University of King's College, Halifax.
![Leslie Byberg](/sites/default/files/styles/800x600/public/2021-05/leslie-byberg-dialogue.jpg?itok=p5K4E_-O)
Leslie Byberg is the Executive Director of the Ontario Securities Commission. As the senior member of staff, she is responsible for coordinating and managing the OSC’s day-to-day operations, including its core regulatory functions of compliance, supervision, oversight, enforcement and investor outreach.
Since 2003, Ms. Byberg has held several executive positions at the OSC, most recently serving as the Director of the OSC’s Strategy and Operations Branch, overseeing the OSC’s business planning, policy prioritization and risk management processes. In this role, Ms. Byberg led the development of the OSC’s Strategic Outlook for 2015-2017, oversaw the first comprehensive review of the Canadian fixed income market and led the OSC’s mystery shop research into the retail investment advice process. Ms. Byberg also served as the Director of Corporate Finance and Director of Investment Funds (now Investment Funds and Structured Products).
Prior to joining the OSC, Ms. Byberg was Senior Counsel, Regulation at the Investment Funds Institute of Canada. Ms. Byberg also worked as an associate lawyer at two Toronto law firms with a practice specializing in investment funds.
AGENDA
7:45 |
Registration opens |
8:30 |
Welcome
|
8:35 |
Opening remarks
|
8:45 |
Economic change and the path forward Maureen Jensen, OSC Chair and CEO, sits down with Stephen S. Poloz, Governor of the Bank of Canada, to discuss their experiences navigating a changing global economy. They consider the impact of innovation, and offer insight into their respective organizations’ approach to addressing emerging risks and fostering a safe and effective financial system.
|
9:30 |
Uncovering opportunity amid uncertainty Changing global markets present new opportunities, even in an environment of slowing global growth and trade uncertainty. Leading economists discuss where global markets are headed and the impact at the macroeconomic level. Where do the opportunities lie for Canadians and Canadian businesses?
|
10:40 |
Break |
11:00 |
Coming together to regulate today’s global marketplace On a global level, markets are challenging regulators to be more agile, flexible and collaborative. An international panel discuss the future of securities regulation in light of geopolitical developments in each of their jurisdictions, adapting to a data-driven marketplace and achieving effective supervision across borders.
|
12:10 |
Networking lunch |
1:15 |
Welcome back
|
1:20 |
Lessons in streamlining regulation: the U.S. experience In 2017, FINRA launched a multi-year self-improvement initiative called FINRA360 to ensure the self-regulatory organization operates as effectively and efficiently as possible. As part of the initiative, FINRA sought feedback from member firms, investors and other stakeholders, and developed a framework for operational change. It has since made a number of significant changes. This case study offers a rare glimpse into one regulator’s efforts to promote efficient and effective regulatory oversight and enhance transparency while emphasizing changes that protect investors and guard the integrity of the market.
|
2:05 |
Break |
2:25 |
Rising to meet the challenge of evolving markets In this rapid-fire session, members of the OSC leadership team offer their take on the topical issues in regulation today, and what it means for the OSC. The discussion will be wide ranging - from cannabis to crypto assets, from alt funds to big data. Team members will discuss regulatory changes underway, challenges to effective oversight, and how the OSC is adapting to evolving markets, while keeping investor needs front and centre.
|
3:40 |
Close
|
CONTINUING EDUCATION/CONTINUING PROFESSIONAL DEVELOPMENT AT OSC DIALOGUE 2019
IIROC Continuing Education
Attendance at OSC Dialogue 2019 is eligible for 1.75 Professional Development CE credits, and 3.00 Compliance CE credits.
FP Canada Continuing Education
Attendance at OSC Dialogue 2019 is eligible for 4.00 Financial Planning Credits and 1.00 Practice Management Credit.
Law Society of Ontario
Attendance at OSC Dialogue 2019 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit the Law Society of Ontario’s website.
CPA Ontario
Attendance at OSC Dialogue 2019 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit CPA Ontario Simple Guide to CPD Requirements
VENUE
METRO TORONTO CONVENTION CENTRE
Metro Toronto Convention Centre,
South Building,
Level 700 / Room 718,
222 Bremner Boulevard,
Toronto, ON
M5V 3L9
![OSC Dialogue 2019](/sites/default/files/styles/pattern_hero_desktop_1x/public/2021-07/main-bg-2019.jpg?h=091cc47e&itok=9cAkEV5e)