Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

OSC Roundtable Past Event

29 mai 2017

09h00 - 12h00

OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8

The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss stakeholder input on the CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct (NI 93-101).

The event will feature panel discussions on the major policy proposals in NI 93-101. 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.

The OSC will provide additional details, including the agenda and list of panellists no later than May 22, 2017.

Interested parties wishing to attend the roundtable are asked to send an email with full contact details to: [email protected] to confirm their attendance. Space is limited. A transcript will be posted on the OSC’s website following the roundtable.

Transcript

Agenda

Time	Topic	Panellists
8:30 – 9:00 a.m.	Arrival/Check-in
9:00 – 9:05 a.m.	Introduction and Opening Remarks	Monica Kowal (OSC Vice-Chair)
9:05 – 9:10 a.m.	Overview of NI 93-101	Aaron Unterman (Senior Legal Counsel, Derivatives, OSC)
9:10 – 10:30 a.m.	Topic 1: Institutional Derivatives Market	Kevin Fine - Moderator (Director, Derivatives, OSC) Ron Hoover (CIBC Capital Markets) Mike Fisher (BMO Capital Markets) Jim Byrd (RBC Capital Markets) Mary Condon (Associate Dean and Professor, Osgoode Hall Law School) Brad Tate (OMERS Captial Markets) Greg O’Donahue (Ontario Teachers’ Pension Plan Board) Breann Kirincich (BlackRock)
10:30 – 10:40 a.m.	Break
10:40 – 11:45 a.m.	Topic 2: Retail Derivatives Market	Kevin Fine - Moderator (Director, Derivatives, OSC) Mary Condon (Associate Dean and Professor, Osgoode Hall Law School) Shannon Seitz (Western Union) Bob Wong (OTT Financial Canada)
11:45 – 11:50 a.m.	Closing	Kevin Fine (Director, Derivatives, OSC)