Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

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


Location:

Ontario Securities Commission, 20 Queen Street West
Large Training Room, 22nd Floor


Members:

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


Invitees:

Andrew Kriegler, CEO, President and CEO, IIROC
Doug Harris, Vice-President, General Counsel and Corporate Secretary, IIROC
Tom Trainor, Managing Director, Hanover Private Client Corporation
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
Sarah Bradley, Ombudsman and CEO, OBSI
Mark Wright, Director, Communications and Stakeholder Relations, OBSI
Leslie Byberg, Executive Director, Executive Director’s 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
Doug Harris

10:45 – 11:45

3. Risk Profiling Discussion

Tom Trainor

11:45

Lunch delivered

11:45 – 12:30

4. CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions Update

John Mountain
Chantal Mainville
Andrew Papini

12:30 – 1:30

5. CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions - attachment

All members

1:30 – 2:15

6. OBSI Update

Sarah Bradley
Mark Wright

2:15 – 2:55

7. OSC 2017-2018 Draft Statement of Priorities - attachment

Leslie Byberg
All members

2:55 – 3:00

8. Climate Change Consultation – attachments

All members

FUTURE MEETINGS

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