Image
OSC Dialogue 2016

OSC Dialogue 2016

The Game has Changed

ABOUT

Innovation in the capital markets is disrupting traditional business models and investor behaviour, revolutionizing how we do business and fundamentally changing how we interact with each other.

Around the world, securities regulators are being challenged to balance innovation with protection of investors and the integrity of the financial system.

Join us at OSC Dialogue 2016 as senior market leaders and regulators share their insights on disruptive forces in the capital markets and what disruption means for investors, industry and regulators alike.

SPEAKERS

Blythe Masters
Blythe Masters
CEO, Digital Asset Holdings

Blythe Masters is CEO of Digital Asset Holdings, a company that builds distributed, encrypted straight through processing tools to improve efficiency, security, compliance and settlement speed.

Ms. Masters was previously a senior executive at J.P. Morgan, which she left in 2014 after a career spanning 27 years, following the successful sale of the bank’s physical commodities business, which she built. Named J.P. Morgan's head of Global Commodities in 2007, Ms. Masters was responsible for building an integrated physical and financial commodity business, including market-making, structuring, risk management, financing and warehousing capabilities across the full spectrum of commodity asset classes. From 2012, in addition to Global Commodities, she was responsible for the Corporate & Investment Bank's Regulatory Affairs overseeing strategies to address the range of complex regulatory changes. She was a member of the J.P. Morgan Corporate & Investment Bank Operating Committee and previously the firm's Executive Committee. From 2004 to 2007, she was Chief Financial Officer of the Investment Bank. Prior to that role, she was J.P. Morgan's head of Global Credit Portfolio and Credit Policy and Strategy. Earlier positions at J.P. Morgan include head of North American Structured Credit Products, cohead of Asset Backed Securitization and head of Global Credit Derivatives Marketing.

From 2012 to 2014, Ms. Masters was chair of the Global Financial Markets Association (GFMA). From 2008-2010 she was chair of the Securities Industry and Financial Markets Association (SIFMA).

Ms. Masters is Group Senior Advisor on Blockchain for Banco Santander and chair of the Hyperledger governing board. She is also a member of the board of directors of the Breast Cancer Research Foundation and the Global Fund for Women.

Mary Jo White
Mary Jo White
Chair, U.S. Securities and Exchange Commission

Mary Jo White was sworn in as the 31st Chair of the Securities and Exchange Commission in April 2013. Chair White brings to the agency decades of experience as a federal prosecutor and securities lawyer. As the U.S. Attorney for the Southern District of New York from 1993 to 2002, she prosecuted complex securities and financial frauds and international terrorism cases. She is the only woman to hold that post. After leaving the U.S. Attorney’s Office, Chair White became the head of the litigation department at Debevoise & Plimpton in New York, where she led a team of more than 200 lawyers.

Chair White earned her undergraduate degree from William & Mary, her master’s degree in psychology from The New School for Social Research and her law degree from Columbia Law School. She has served as a director of The NASDAQ Stock Exchange and on its executive, audit, and policy committees.

Maureen Jensen
Maureen Jensen
Chair and CEO, Ontario Securities Commission

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. In addition, she provided leadership and direction on policy development and implementation, as well as strategic securities, regulatory and enforcement policy and program analysis. Ms. Jensen was also an executive sponsor of various regulatory policy initiatives.

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. At IIROC, she was responsible for all of its compliance and market surveillance functions, including market surveillance and prudential and business conduct regulation of all registered dealers and registrants.

Prior to the formation of IIROC in 2008, Ms. Jensen was President and CEO of Market Regulation Services Inc. (RS), the independent national market regulation services provider for Canadian equity markets. At RS, she was responsible for overseeing all of its corporate and regulatory functions and the development of strategic initiatives that promote market integrity. During her tenure, Ms. Jensen also held the positions of Vice President, Market Surveillance, and later Vice President, Market Regulation Eastern Region.

Ms. Jensen has also held senior positions in regulatory and business portfolios at the Toronto Stock Exchange and had a 20-year career in the mining business, holding both executive and technical management positions with several resource companies.

Ms. Jensen is a Registered Professional Geoscientist (P.Geo) and holds the ICD.D designation.

David Rutter
David Rutter
CEO, R3

David Rutter is the Founder and Chief Executive Officer of R3CEV (R3) and a pioneer in electronic financial markets innovation. Over the past 30 years, he has played a leading role in the evolution from voice to electronic trading.

R3 is a cryptofinance, exchanges, and venture group empowering the next generation of financial services innovation. Working side by side with global financial institutions, technologists and vendors, the goal is to help introduceevolutionary solutions which are capable of transforming the modern financial markets ecosystem. The R3 portfolio includes a project to test blockchain technology, supported by a group of the largest global banks, and LiquidityEdge LLC, a peer-to-peer directly disclosed trading venue for US Treasuries. Mr. Rutter’s wide network of senior industry relationships, 30 years of experience leading some of Wall Street’s top institutions & deep market knowledge provide unique access & insight to R3’s clientele.

He previously served as CEO of Electronic Broking at ICAP Plc, the world’s largest interdealer broker, leading the BrokerTec fixed income and EBS foreign exchange platforms, two of the largest electronic OTC platforms in the world. Prior to ICAP, Mr. Rutter was co-owner of Prebon Yamane, serving in various roles such as CEO, Americas; Global Head of e-Commerce; & CEO, Prebon Energy. He serves on the boards of Singapore Exchange (SGX-BT), Green Key Technologies, & Enso Financial Management. Mr. Rutter is a dedicated philanthropist and a member of “The Well” created to underwrite the operating costs of Charity: Water after completing a mission in Ethiopia. He supports a number of charities that focus on Multiple Sclerosis, Downs Syndrome research and advanced education as well as serving on the Dean’s Advisory Council at the Villanova School of Business. Mr. Rutter received a Bachelor of Science in Business Administration from Villanova University.

Christine Duhaime
Christine Duhaime
Executive Director, Digital Finance Institute

Christine Duhaime is the Founder of the Digital Finance Institute, a think tank that addresses emerging issues in FinTech, such as balancing regulation for innovation and remediation of financial inclusion. Ms. Duhaime is also a lawyer with a specialized practice in financial crime mitigation and acts primarily for financial institutions, casinos and professional advisory firms and advises in respect of anti-money laundering and counter-terrorist financing law. Ms. Duhaime also practices corporate finance, M&A and securities law for financial technology firms and for the gambling sector. She is an expert in unbanked and financial inclusion problems arising from de-risking or exclusion of people and businesses from the financial system.

Ms. Duhaime frequently provides insight to the media on emerging FinTech and legal issues including the Blockchain, digital currencies, terrorist financing, money laundering, financial regulation and policy developments, and has written for Quatz, the influential Millennial publication, Financier Worldwide, The Globe & Mail and American Banker and appeared on Elite Daily and NBC in New York and has spoken by invitation on issues related to balancing technology and regulation, FinTech, financial inclusion and Blockchain applications for law at numerous prestigious conferences and events including the United Nations UNCITRAL, the Milken Institute Global Conference, Asian Development Bank, Money 2020, Innovate Finance Global Summit and the Business Council of Canadian CEOs. Ms. Duhaime is consistently voted one of the top 100 Most Influential in FinTech in the world and is a mentor to Hong Kong’s premier FinTech accelerator, SuperCharger that is sponsored by Baidu, Invest HK and the Hong Kong Stock Exchange.

Ms. Duhaime spearheads the project to create a Refugee bank based on the Blockchain technology for financial inclusion remediation using FinTech and helped to co-found FemTech Leaders, the most popular website for FinTech that supports and highlights global diversity in financial services and is involved in a startup that is creating onboarding mobile tech for anti-money laundering compliance.

Ms. Duhaime has her BA and JD.

Rizwan Khalfan
Rizwan Khalfan
Executive Vice President & Chief Digital and Payments Officer, TD Bank Group

Rizwan Khalfan is responsible for setting the strategic direction for all digital and payments activities, while creating more intuitive, personalized and integrated experiences that help customers live their lives. Rizwan's mandate includes partnering with business units across the organization to strategically invest in transformational digital capabilities, overseeing the evolution of the payments ecosystem, and collaborating with innovators, fintechs and start-ups, all with an eye on delivering differentiated experiences to customers and employees.

Prior to this role, Rizwan was responsible for delivering the technology strategies and development supporting the bank's North American ATM, Phone and Online/Mobile channels. He has held roles of increasing seniority since joining TD in February 2002.

Before joining TD, Rizwan worked for Citigroup, overseeing their Operations and Technology in Europe.

A CFA charterholder, Rizwan is a graduate of the University of Toronto. He is married with three children, and actively involved in his community, serving on the Board of his children’s school. He is an avid tennis player.

Joseph Lubin
Joseph Lubin
Founder, ConsenSys and Ethereum

Joseph Lubin’s career has involved various posts in the fields of technology and finance and in their intersection.

Subsequent to graduating cum laude with a degree in Electrical Engineering and Computer Science from Princeton, he worked as research staff in the Robotics Lab at Princeton and then at Vision Applications, Inc., a private research firm, in the fields of autonomous mobile robotics, machine vision and artificial neural networks.

His next project was the development of an autonomous music composition tool with tomandandy music.

Mr. Lubin worked as a software engineer and consultant on various projects, eventually being tipped for the role of Director of the New York office of Blacksmith, a Virginia-based software consulting firm.

Software engineering, finance and cryptography were central during employment with Goldman Sachs, eMagine’s consulting work on the Identrus project, and the founding and operation of a set of hedge funds run with a partner.

Switching gears, Mr. Lubin moved to Kingston, Jamaica to work on a set of projects in the music industry. Two years into the music project, Mr. Lubin co-founded the Ethereum Project, and has been working on Ethereum and more recently ConsenSys since January 2014.

R. Jesse McWaters
R. Jesse McWaters
Financial Innovation Lead, World Economic Forum

R. Jesse McWaters is the Financial Innovation Lead for the World Economic Forum. He leads the World Economic Forum’s exploration of fintech and financial invation. His work focuses on bringing together senior financial services eecutives, leading fintech plyers, and global regulators to understand how new technologies and innovative new entrants are transforming the competitive dynamics of the global financial ecosystem.

Mr. McWaters is the co-author of the World Economic Forum’s groundbreaking “Future of Financial Services” report which charted a taxonomy of fintech innvation, and more recently published in-depth explorations into the potential of blockchain (“The Future of Financial Infrastructure”) and the digitization of identity (“A Blueprint for Digital Identity”) to revolutionize financial services.

Mr. McWaters also manages the Forum’s newly created council on the Future of Blockchain, which will convene leading thinkers, innovators, and policy-makers to consider the emerging governance of blockchain technology and previously led the now completed terms of similar councils including The Future of Insurance and Asset Management and The Future of The Global Financial System.

Prior to his current role, Mr. McWaters worked as a financial services consultant with Deloitteand served as Director of Insights for Deloitte’s Future of Canada Institute, an organization dedicated to enhancing Canada’s productivity, competitiveness and innovative capabilities. In this capacity Mr. McWaters co-authored numerous publications including: “The future of productivity - A wake-up call for Canadian companies” and “Passport to growth - How international arrivals stimulate Canadian exports.”

Randy Cass
Randy Cass
Founder and CEO, Nest

Randy Cass is the Founder and Chief Executive Officer of Nest Wealth. He brings over 15 years of experience in the financial services industry to the organization.

Prior to founding Nest Wealth, Mr. Cass managed quantitative portfolios at the Ontario Teachers’ Pension Plan and institutional assets at Orchard Asset Management. His previous company, First Coverage, won multiple awards as a top start-up including a financial services Morningstar award for best use of Technology in Canada before it was ultimately sold in 2011. Mr. Cass hosted Market Sense on BNN between 2012 and 2014.

Mr. Cass is committed to providing Canadians with a personalized and professional wealth management solution that lets them keep more of their money.

Mr. Cass has his CFA, LL.B and MBA.

Kelly Peters
Kelly Peters
CEO & Co-Founder, BEworks

Kelly Peters is Chief Executive Officer and Co-ounder of BEworks, a global firm that specialies in applying behavioral economics to business and policy challenges. The team consists of scientists from the fields of pschology, economics, and neuroscience.

Prior to cofounding BEworks, Ms. Peters led innovation teams at the Royal Bank of Canada, Bank of Montreal, CANOE, and Financial Post. She has over twenty years of experience in financial services stategy and IT innovation, a Master’s in business administration from Dalhousie, and is a Fellow at the Institute of Canadian Bankers.

Ms. Peters is an influential though-leader in the field of behvioral economics, is an experienced TEDx and keynote speaker, and is a Faculty Lecturer of applied behavioral science at University of Toronto’s Rotman School of Management.

Mark Wiedman
Mark Wiedman
Senior Managing Director and Global Head of iShares, BlackRock

Mark Wiedman, Senior Managing Director, is the Global Head of iShares. He is a member of BlackRock's Global Executive Committee.

Mr. Wiedman joined BlackRock in 2004 to help start what became the Financial Markets Advisory Group. This group advises financial institutions and central banks on capital markets exposures. Mr. Wiedman then led Corporate Strategy for BlackRock, before moving to iShares in 2011.

Before BlackRock, he was senior advisor for the Under Secretary for Domestic Finance at the US Treasury, and a management consultant at McKinsey. He has taught law at Renmin University in Beijing, and lectured on finance at Princeton, Stanford, and Yale.

Mr. Wiedman led BlackRock’s 2008 sponsorship of Penny Mac, a U.S. mortgage lender and servicer, and continues to serve on that company’s board (NYSE: PFSI). Mr. Wiedman earned an BA degree, Phi Beta Kappa, magna cum laude, in Social Studies from Harvard College in 1992, and a JD degree from Yale Law School in 1996.

Troy Wright
Troy Wright

Troy Wright is the CEO and Co-Founder of Lendified, Canada’s premier online lender and financial services company. Mr. Wright is a globally recognized leader and trusted ‘go-to’ industry expert with a proven track record of over 30 years in the financial services industry. During his career, he has met with thousands of companies across Canada and has developed a very clear understanding of the challenges and opportunities faced by business owners in this country. In his current role as CEO of Lendified, he oversees the vision, strategic direction, risk management and leadership of the company.

Prior to Lendified, Mr. Wright was the President and CEO of the Scotiabank Group Mexico, the largest subsidiary of Scotiabank outside of Canada, a full service bank with 2.4 million customers, US $23 billion in assets, 900 branches and 15,000 employees. Previous to this, Mr. Wright was Executive Vice President, Canadian Retail Branches and Channels at Scotiabank, having, among other skills, extensive experience in risk management, overseeing all retail and commercial risk management processes, compliance and regulatory risks.

Mr. Wright has lived and worked domestically and in several international locations and is multi-lingual. He is a graduate of the Harvard Business School, Advanced Management Program; Western University with a BA; and, the Harvard Business School YPO Presidents` Program.

Richard Ketchum
Richard Ketchum
Former Chairman and CEO, Financial Industry Regulatory Authority

Richard Ketchum is the former Chairman and Chief Executive Officer of FINRA, hving retired in September 2016. Prior to becoming CEO of FINRA, Mr. Ketchum was CEO of NYSE Regulation from March 2006 to March 2009. He served as the first chief regulatory officer of the Nework Stock Exchange, a position he began in March 2004. From June 2003 to March 2004, Mr. Ketchum was General Counsel of the Corporate and Investment Bank of Citigroup Inc., and a member of the unit’s planning group, Business Practices Committee and Risk Management Committee.

Previously, Mr. Ketchum spent 12 years at NASD and The Nasdaq Stock Market, Inc., where he served as president of both organizations.Prior to working at NASD and NASDAQ, he was at the Securities and Exchange Commission (SEC) for 14 years, with eight of those years as director of the division of Market Regulation.

In January 2015, Mr. Ketchum was named to the SEC Equity Market Structure Advisory Committee, which focuses on the structure and operations of the U.S. equities markets. In February 2014, Mr. Ketchum was appointed by President Obama to serve on the President’s Advisory Council on Financial Capability for Young Americans. In October 2010, he was appointed by President Obama to serve on the President’s Advisory Council on Financial Capability—a group established to promote and enhance financial liteacy and capability among Americans. He also served on the Joint Advisory Committee on Emerging Regulatory Issues, a committee created by the SEC and CFTC to review emerging regulatory issues, starting with the market events coming out of the May 2010 so-called “flash-cash.”

Mr. Ketchum is the former Chairman of the FINRA Investor Education Foundation. He serves on the Board of Directors of Appleseed, a non-profit network of 16 public interest justicecenters in the United States and Mexico dedicated to advancing the rule of law, promoting effective government and creating opportunities for individuals’ economic advancement.

Mr. Ketchum earned his J.D. from the New York University School of Law in 1975 and his B.A. from Tufts University in 1972. He is a member of the bar in both New York and the District of Columbia.

John Price
John Price
Commissioner, ASIC

John Price commenced as an ASIC Commissioner on March 21, 2012. In March 2015, he was reappointed for a further three years to March 20, 2018. He has over 15 years of regulatory experience in a variety of regulatory roles at ASIC relating to policy making, fundraising, mergers and acquisitions, financial services and products, licensing, insolvency and financial reporting and audit.

Mr. Price was previously a member of CAMAC, an advisory body to Government on corporate and markets issues and also the Financial Reporting Council, a body providing broad oversight of various accounting and audit-related issues in Australia.

Mr. Price is a current member of the Council of Financial Regulators, the coordinating body for Australia's main financial regulatory agencies. Mr. Price is also the sponsor of ASIC's innovation hub, an initiative to help innovative fintech startups offering financial products or financial services in Australia.

Prior to joining ASIC, Mr. Price worked in the Gold Coast and Brisbane offices of Corrs Chambers Westgarth, a national law firm.

Mr. Price has his BA and LL.B (Honours).

Carolyn Wilkins
Carolyn Wilkins
Senior Deputy Governor, Bank of Canada

Carolyn Wilkins was appointed Senior Deputy Governor for a term of seven years beginning 2 May 2014. In this capacity, she oversees the Bank’s strategic planning and economic and financial research, and shares responsibility for the conduct of monetary policy as a member of the Bank’s Governing Council. She is also a member of the Bank’s Board of Directors.

Ms. Wilkins represents the Bank of Canada on the Financial Stability Board (FSB) Plenary and is a member of the FSB’s Standing Committee on Assessment of Vulnerabilities. She was elected Chair of the FSB’s Regional Consultative Group for the Americas for a two-year term, effective 1 July 2015. She previously represented Canada on the Basel Committee on Banking Supervision (BCBS) and chaired the BCBS Working Group on Liquidity.

Prior to her appointment, Ms. Wilkins was Advisor to the Governor, with a focus on the Canadian economy, its interaction with the financial system, and monetary policy. She also served as Secretary to Governing Council. From 2011 until 2013, Ms. Wilkins was Chief of the Bank’s Financial Stability Department. In this role, she led the Bank’s analysis and research on issues related to the financial sector in Canada and abroad, the assessment of risks to financial system stability, and the oversight of systemically important payment, clearing and settlement systems under the Payment, Clearing and Settlement Act.

Ms. Wilkins has held a broad range of senior analytical roles at the Department of Finance Canada and the Privy Council Office. Since joining the Bank in 2001, she has occupied increasingly senior positions, first in the monetary and financial modelling division of the former Monetary and Financial Analysis Department, and subsequently as Deputy Chief of the Financial Markets Department. From October 2010 until November 2011, Ms. Wilkins was on assignment as Special Director on the OTC Derivatives Market Task Force. She also chaired the inter-agency working group coordinating implementation of the G-20’s commitments related to over-the-counter derivatives.

Ms. Wilkins was born in Peterborough, Ontario. She holds an Honours BA in Economics from Wilfrid Laurier University and an MA in Economics from the University of Western Ontario.

Mary G. Condon
Mary G. Condon
Associate Dean (Academic) & Professor, Osgoode Hall Law School

Professor Mary Condon joined the Osgoode faculty in 1992 and was appointed Associate Dean (Academic) in July 2016. Between 2008 and 2016 she was appointed by the Ontario government as a Commissioner and Board Member of the Ontario Securities Commission (OSC). For three of those years (2011-2014) she served as one of two full-time Vice-Chairs of the OSC. In that capacity she was executive sponsor of a number of policy initiatives. She also issued numerous adjudicative decisions as a member of the OSC’s tribunal.

Professor Condon teaches Securities Regulation and Advanced Securities in Osgoode’s JD program and also directs and teaches in the Professional LLM in Securities Law program. In the 2009 winter term, she was awarded the Walter S. Owen Chair in Business Law at the Faculty of Law, University of British Columbia, where she was also the co-director of the National Centre for Business Law.

Professor Condon’s research interests are focused primarily on the regulation of securities markets, investment funds, online investing, and pensions. She is co-author of Business Organizations: Principles, Policies and Practice (with Robert Yalden, Janis Sarra, Paul Paton, Mark Gillen and Ronald Davis). She is co-author of Securities Law in Canada: Cases and Commentary (with Anita Anand, Janis Sarra and Sarah Bradley), [3rd edition in preparation in 2016]. She is the author of Making Disclosure: Ideas and Interests in Ontario Securities Regulation (UTP). She has also written articles, book chapters and policy papers on topics related to securities regulation and pensions policy and has given invited lectures on these topics in Canada and internationally.

Between 2014 and 2016 she served as a member of Canada’s National Steering Committee for Financial Literacy. She was a member of the Board of Trustees of the York University Pension Fund between 2005 and 2014.

Bob Ferguson
Bob Ferguson
Head of Department, Project Innovate, FCA

Bob Ferguson is the Head of Department, Project Innovate at the Financial Conduct Authority. Project Innovate encapsulates the FCA’s active engagement with the innovation community and with fintech in particular and aims to make the regulatory system more innovation-friendly. Mr. Ferguson was previously responsible for supervision of wealth managers and private banks, and before that, Head of Financial Crime & Intelligence.

Mr. Ferguson graduated in law at Edinburgh University, and taught law in Cardiff and Dundee. He is also a visiting professor of law at Queen Mary, London, and at the London School of Economics.

Teri Kirk
Teri Kirk
Founder and CEO, Fundingportal.com

Teri Kirk is Founder and CEO of Fundingportal.com — North America's leading mobile finTech platform for companies seeking to navigate business incentives markets and “get funded!”.

This year, she was named the 2016 “EY Sara Kirke Entrepreneur and Innovator of the Year” by Canada’s Advanced Technology Association for her work building Funding Portal.

Ms. Kirk has founded and led three investor-backed companies that take time, cost and complexity out of common business processes, including “Electronic Courthouse,” “Insured Claims” and, now, “Funding Portal”. Often called the “Expedia of business financing markets,” Funding Portal aggregates data on more than 15,000 sources of funding, and integrates proprietary Search and Ranking capabilities, to generate matches between companies and capital. More than 17,000 companies use Funding Portal each month to source funding.

Previously, Ms. Kirk served as Vice President, Business Development, Bell Canada, where she led several national e-business transformation initiatives integrating high-speed data networks. Prior to joining Bell Canada, Ms. Kirk practiced law, serving as the senior legal advisor to the Government of Ontario on deregulation, outsourcing and public-private partnerships, often aimed at large-scale e-government initiatives, including Teranet, the digitization of Ontario’s land registry system.

Ms. Kirk holds a Master’s degree from Queen's University specializing in transformative technologies and a Juris Doctor from Osgoode Hall Law School. She is a recent or current member of numerous corporate and community boards, including the Private Capital Markets Association of Canada, the Toronto Region Board of Trade, the Ontario Science Centre, the Canadian Club, and the School of Public Policy, Queen’s University.

Ms. Kirk’s TEDX Talk on “Financing Innovation: From Capital Markets to Crowdfunding” provided a vision of female leadership in the tech sector and highlighted opportunities that the digital environment offers entrepreneurs for financing their innovation objectives.

John Ruffolo
John Ruffolo
CEO, OMERS Ventures

John Ruffolo is the Chief Executive Officer of OMERS Ventures, the venture arm of OMERS, one of Canada’s leading pension funds. OMERS Ventures invests in early to late stage companies in the Technology, Media, and Telecommunications sectors. In addition, he is also the Executive Managing Director with OMERS Platform Investments, the innovation investing arm of OMERS.

Mr. Ruffolo serves as a board member of both Hootsuite and D2L (Desire2Learn). He is the Chairman of OMERS Energy and serves on the Member Council of Sustainable Development Technology Canada (SDTC). Mr. Ruffolo is the co-founder and Vice-Chair of the Council of Canadian Innovators. He also serves as a board member of OneEleven and Communitech, respectively, both leading innovation hubs in Canada. Mr. Ruffolo is the Vice-Chair of the David Suzuki Foundation and is a board member of Canadians for Clean Prosperity and The Next Big Thing Foundation. He is a member of the Toronto chapter of the Young Presidents’ Organization.

Prior to joining OMERS Ventures, Mr. Ruffolo was a Partner at Deloitte, as well as the Global Thought Leader, the Global Tax Leader and the Canadian Industry Leader for Deloitte’s Technology, Media and Telecommunications (TMT) practice. He was also a member of the firm’s Tax and TMT Global Leadership teams and a member of Deloitte’s Board of Directors.

A chartered accountant, Mr. Ruffolo was formerly a partner with Arthur Andersen LLP and has also spent time as an instructor for both the Canadian Institute of Chartered Accountants and York University’s Schulich School of Business, from which he holds a Bachelor of Business Administration.

AGENDA

8:30

Welcome

  • Grant Vingoe
8:45

Gamechanger: How Blockchain Could Challenge the Fundamentals of Our Markets

Keynote Discussion

  • Maureen Jensen (OSC)
  • Blythe Masters (Digital Asset Holdings)
9:30

Blockchain and the Future of Canada’s Capital Markets

Panel

  • Christine Duhaime (Digital Finance Institute)
  • Rizwan Khalfan (TD Bank Group)
  • Joseph Lubin (ConsenSys and Ethereum)
  • Jesse McWaters (World Economic Forum)
  • David Rutter (R3)
  • Moderator: Chami Akmeemana (OSC)
10:30

Break

10:45

Fintech: What It Means for Investors and Emerging Businesses

Panel

  • Randy Cass (Nest Wealth)
  • Kelly Peters (BEworks)
  • Mark Wiedman (BlackRock)
  • Troy Wright (Vault Circle)
  • Moderator: Pat Chaukos (OSC)
11:45

Networking Lunch

12:45

Welcome Back

  • Monica Kowal (OSC)

 

Disruption and the Investor: A Regulator’s Perspective

Keynote Discussion

  • Maureen Jensen (OSC)
  • Mary Jo White (SEC)
1:30

Innovative Oversight in the Midst of Disruption

Panel

  • Maureen Jensen (OSC)
  • Rick Ketchum (Formerly FINRA)
  • John Price (ASIC)
  • Carolyn Wilkins (Bank of Canada)
  • Moderator: Tim Kiladze (Globe and Mail)
2:30

Regulators and Entrepreneurs: How We Work Together

Panel

  • Mary Condon (Osgoode Hall Law School)
  • Bob Ferguson (U.K. FCA)
  • Teri Kirk (FundingPortal)
  • John Ruffolo (OMERS Ventures)
  • Moderator: Huston Loke (OSC)
3:30

Close

  • Grant Vingoe (OSC)

 

SESSION DESCRIPTIONS

Keynote Discussion
Gamechanger: How Blockchain Could Challenge the Fundamentals of Our Markets
Audience members will learn about blockchain and the extent to which it could challenge the fundamentals of our markets. Distributed ledger technology and its impact on information transparency, security and privacy are just a few examples of how blockchain represents a disruptive force that could change the game for investors, industry and regulators alike.

Panel One
Blockchain and the Future of Canada’s Capital Markets
This panel will explore what blockchain could mean for capital markets in Canada. How will the day-to-day activities of investors and market participants be impacted? How do we maximize any benefits while minimizing any unintended risks?

Panel Two
Fintech: What It Means for Investors and Emerging Businesses
Attendees will learn about the emergence of fintechs in Canada and what innovation we have seen to date. To what degree are fintechs helping to address longstanding issues such as access to financial services, information and disclosure, costs and efficiencies and the increasingly important user experience?


Keynote Discussion
Disruption and the Investor: A Regulator’s Perspective
This one-on-one discussion will explore how regulators respond to disruptive forces. Are past approaches to investor protection - such as disclosure, choice and the removal of conflicts of interest - still relevant for these times?

Panel Three
Innovative Oversight in the Midst of Disruption
Regulators and central banks are applying innovative practices to their oversight of fintech and disrupted markets. What role can they play in preparing investors for the emerging environment? What proactive approaches can be taken to build in risk mitigation and reduce regulatory burden?

Panel Four
Regulators and Entrepreneurs: How We Work Together

Attendees will gain insight into how regulators are already working together with entrepreneurs to benefit from fintech. What opportunities exist for both groups to deliver a more valuable product or service that does not place the consumer at risk?

VENUE

The Toronto Board of Trade is in First Canadian Place (Adelaide St. entrance) with the main ballroom found on the fourth floor.

TORONTO BOARD OF TRADE

77 Adelaide West,
Toronto, ON
Canada M5X 1C1

Image
OSC Dialogue 2016

OSC Dialogue 2016

The Game has Changed