Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, December 8, 2016, 9:30 am – 2:15 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,
Alison Knight, Louise Tardif (absent)


Invitees:

Andrew Kriegler, President and CEO, Investment Industry Regulatory Organization of Canada
Wendy Rudd, Senior Vice-President, Member Regulation and Strategic Initiatives, Investment Industry Regulatory Organization of Canada
Diana Iannetta, Associate General Counsel, External Relations, Investment Industry Regulatory Organization of Canada
John Mountain, Director, Investment Funds and Structured Products
Chantal Mainville, Senior Legal Counsel, Investment Funds and Structured Products
Andrew Papini, Legal Counsel, Investment Funds and Structured Products
Dennis Yanchus, Senior Economist, Strategy and Operations
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. IIROC Update - attachments

Andrew Kriegler
Wendy Rudd
Diana Iannetta

10:45 – 11:15

3. Risk Ratings - attachment

Ken Kivenko

11:15 – 11:45

4. Risk Classification Methodology Discussion

John Mountain

11:45 – 12:15

5. Mutual Fund Fees Consultation Paper

Chantal Mainville
Andrew Papini
Dennis Yanchus

12:15

Lunch delivered

12:15 – 1:00

6. Prioritize and finalize 2017 Work Plan - attachment

All members

1:00 – 1:15

7. Duty to Warn

Harold Geller

1:15 – 1:45

8. CCMR – Investor Protection Regimes

Ken Kivenko

1:45 – 2:00

9. Investor Office Update

Tyler Fleming

2:00 – 2:15

10. Other business

All members

FUTURE MEETINGS

Thursday, January 19, 2017: 9:30am – 3:00pm
Thursday, February 16, 2017: 9:30am – 3:00pm
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