Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, February 16, 2017, 9:30 am – 2:30 pm


Location:

Ontario Securities Commission, 20 Queen Street West
Commissioners’ Boardroom, 17th Floor


Members:

Ursula Menke (Chair), Connie Craddock, Letty Dewar, Harold Geller, Ken Kivenko (absent), Alison Knight (via conference), Louise Tardif


Invitees:

Randy Cass, CEO, Nest Wealth
Chris Jepson, Senior Legal Counsel, Compliance & Registrant Regulation
John Mountain, Director, Investment Funds and Structured Products
Debra Foubert, Director, Compliance and Registrant Regulation
Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Regulation
Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant

TIME

AGENDA ITEMS

PRESENTERS

9:30 - 9:45

1. Chair’s remarks

Ursula Menke

9:45 - 10:45

2. Online Advisors Discussion

Randy Cass

10:45 – 11:15

3. Online Advisors Discussion

Chris Jepson

11:15 – 12:00

4. CSA Consultation Paper 81-408 Discussion

John Mountain

12:00

Lunch delivered

12:00 – 1:00

5. CSA Consultation Paper 81-408 Discussion

All members

1:00 – 1:30

6. CSA Staff Notice 33-318 – Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives

Debra Foubert
Kat Szybiak

1:30 – 1:45

7. Potential Survey Project - attachment

Connie Craddock

1:45 – 2:00

8. Letter to Kevan Cowan - attachment

All members

2:00 – 2:15

9. Investor Office Update

Tyler Fleming

2:15 – 2:30

10. Other business

All members

FUTURE MEETINGS

Thursday, March 16, 2017: 9:30am – 3:00pm
Thursday, April 20, 2017: 9:30am – 3:0pm
Thursday, May 18, 2017: 9:30am – 3:00pm
Thursday, June 15, 2017: 9:30am – 3:00pm
Thursday, July 20, 2017: 9:30am – 3:00pm
Thursday, August 17, 2017: 9:30am – 3:00pm
Thursday, September 21, 2017: 9:30am – 3:00pm
Thursday, October 19, 2017: 9:30am – 3:00pm
Thursday, November 16, 2017: 9:30am – 3:00pm
Thursday, December 7, 2017: 9:30am – 3:00pm