Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, March 16, 2017, 9:30 am – 1:30 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, Alison Knight, Louise Tardif (via conference)


Invitees:

Susan Greenglass, Director, Market Regulation Joseph Della Manna, Senior Accountant, Market Regulation Tyler Fleming, Director, Investor Office Caroline Cakebread, IAP Consultant

TIME

AGENDA ITEMS

PRESENTERS

9:30 - 9:45

1. Chair’s remarks

Ursula Menke

9:45 – 11:15

2. CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions - attachments

All members

11:15 – 11:45

3. MFDA Oversight Review Report Discussion

Susan Greenglass
Joseph Della Manna

11:45 – 12:00

4. SEC Investor Bulletin – information item - attachment

All members

12:00

Lunch delivered

12:00 – 12:30

5. MFDA Bulletin: 2016 Year in Review and 2017 Initiatives - attachment

All members

12:30 – 1:00

6. Enforcement Issues

Harold Geller
Connie Craddock

1:00 – 1:15

7. Investor Office Update

Tyler Fleming

1:15 – 1:30

8. Other business

All members

FUTURE MEETINGS

Thursday, April 20, 2017: 9:30am – 3:00pm
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