Roundtable on Derivatives Registration and Business Conduct Regimes

OSC Roundtable Past Event

20 sep. 2018

09h00 - 12h00

The Globe and Mail Centre, located at 351 King Street East in Toronto, Ontario.

Roundtable to discuss stakeholder input on the CSA notices Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101 CP Derivatives: Business Conduct

The event will feature panel discussions on the major policy proposals outlined in the notices. Panellists will be selected to reflect a diversity of roles and views. Representatives of banks, pension funds and buy-side market participants have been invited.

Transcript

Time	Topic	Panellists
8:30 – 9:00 a.m.	Arrival/Check-in
9:00 – 9:05 a.m.	Introduction and Opening Remarks	Maureen Jensen Chair & Chief Executive Officer, Ontario Securities Commission
9:05 – 9:50 a.m.	Topic 1: Business Conduct – Institutional and Retail Markets	Moderator: Aaron Unterman Senior Legal Counsel, Derivatives, Ontario Securities Commission Jennifer Levin Manager, National Futures Association Allan Maclean-Howard Vice President, Asset Allocation & Risk Management, Signature Funds, CI Investments Greg O'Donohue Director & Senior Legal Counsel, Derivatives, Ontario Teachers' Pension Plan Nadeem Siddiq Senior Legal Counsel, Scotiabank
9:50 – 10:35 a.m.	Topic 2: Registration – Advisors, Dealers and Retail Markets	Moderators: Alison Beer, Legal Counsel, Derivatives and Paul Hayward, Senior Legal Counsel, CRR, Ontario Securities Commission Larry Bates Member, Investor Advisory Panel Richard Corner Vice President & Chief Policy Advisor, Member Regulation, Investment Industry Regulatory Organization of Canada Melissa Ghislanzoni Association Legal Counsel, Portfolio Management Association of Canada Bob Wong CEO & CCO, OTT Financial Canada
10:35 – 10:45 a.m.	Refreshment Break
10:45 – 11:55 a.m.	Topic 3: Registration – Financial Institutions (Federally and Provincially Regulated)	Moderator: Kevin Fine Director, Derivatives, Ontario Securities Commission Srijan Agrawal Director, RBC Capital Markets Lise-Estelle Brault Senior Director, Derivatives Oversight, Autorité des marchés financiers Mary Condon Associate Dean & Professor, Osgoode Hall Law School Waqaas Fahmawi Director & Assistant General Counsel, Bank of America
11:55 – 12:00 p.m.	Closing	Kevin Fine Director, Derivatives, Ontario Securities Commission