Investors

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

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


Location:

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


Members:

Letty Dewar (Chair), Jaqueline Allen, Larry Bates, Connie Craddock (via conference), Harold Geller, Malcolm Heins (absent), Ken Kivenko, Alison Knight, Louise Tardif


Invitees:

Carlin Fung, Senior Accountant, Compliance and Registrant Regulation
Chris Jepson, Senior Legal Counsel, Compliance and Registrant Regulation
Susan Greenglass, Director, Market Regulation
Joseph Della Manna, Manager, Market Regulation
Marlene Puffer, CFA, Partner, Alignvest Investment Management
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s remarks

Letty Dewar

9:45 – 10:15

2. Online Advisors

Carlin Fung
Chris Jepson

10:15 – 10:45

3. IIROC Oversight Review Report – attachment

Susan Greenglass
Joseph Della Manna

10:45 – 12:30

4. IAP Work Plan – 2017-2018 Priority Setting
- Best Interest Standard - attachments
- Proficiency and Titles
- Risk Profiling
- Onboarding of Clients to Robo Platforms Research Project
- Other

Connie Craddock
Alison Knight
All members

12:30 – 12:45

Lunch

12:45 – 1:00

5. CSA Notice and Request for Comment – Proposed NI 93-101 and Proposed Companion Policy 93-101CP Derivatives – Business Conduct - member discussion (materials previously circulated)

All members

1:00 – 1:30

6. Derivatives Discussion

Marlene Puffer

1:30 – 1:45

7. Derivatives Discussion - attachments

All members

1:45 – 2:05

8. Law Foundation of Ontario Vulnerable Investor Project – comment letter discussion - attachment

All members

2:05 – 2:50

9. IAP Work Plan – 2017-2018 Priority Setting – discussion continued

All members

2:50 – 3:00

10. Other Business

All members

FUTURE MEETINGS

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