May 16, 2019 - Investor Advisory Panel - Agenda

May 16, 2019

Meeting Date:		Thursday, May 16, 2019, 9:30 am - 2:15 pm

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

Members:		Neil Gross (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Daniel Brunet, Patti Best, Malcolm Heins, Harvey Naglie, Ilana Singer

Invitees:		Tyler Fleming, Director, Investor Office Daniella Laise, Manager, Policy, Investor Office Joseph Della Manna, Manager, Market Regulation Karin Hui, Senior Accountant, Market Regulation Doug Sarro, Senior Advisor, Investor Office Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 - 9:45	1. Chair’s Report	Neil Gross
9:45 - 10:00	2. Investor Office Update	Tyler Fleming Daniella Laise
10:00 - 10:20	3. 2019 IIROC Oversight Review Report (attachment)	Joseph Della Manna Karin Hui
10:20 - 10:40	4. Proposed Amendments to the Investor Protection Fund Approval Orders & MOUs (attachments)	Joseph Della Manna Karin Hui
10:40 - 11:00	5. Mass Market Advice Survey - Draft Report	Doug Sarro All members
11:00 - 11:20	6. OSC Draft Statement of Priorities 2019-2020	All members
11:20 - 11:40	7. Globe & Mail Article on Investor Education(attachment)	All members
11:40 - 12:00	8. Mutual Funds and ETFs - Fees and Securities Lending (attachments)	All members
12:00 - 12:45	Lunch
12:45 - 1:00	9. IIROC Revised Proposal for Minor Contravention Program (attachment)	All members
1:00 - 1:20	10. FSRA Stakeholder Consultations	All members
1:20 - 1:40	11. MFDA 2018 Enforcement Report (attachments)	All members
1:40 - 2:00	12. Size and Composition of Advisors’ Books of Business (attachments)	All members
2:00 - 2:15	13. Other Business	All members