OSC Announces Agenda on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

TORONTO – The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable to discuss CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct.

The roundtable will take place on May 29, 2017, from 9:00 a.m. to 12:00 p.m. on the 22nd floor of the OSC’s offices, located at 20 Queen Street West in Toronto, Ontario.

Since announcing details of the roundtable on May 9, 2017, the OSC has received significant interest for in-person participation in the roundtable. As space is limited, interested parties wishing to attend the roundtable are asked to send an email with full contact details to: [email protected] to confirm their attendance.

The agenda and list of panellists is as follows, subject to change.

 

Time	Topic	Panellists
8:30 – 9:00 a.m.	Arrival/Check-in
9:00 – 9:05 a.m.	Introduction and Opening Remarks	Monica Kowal (OSC Vice-Chair)
9:05 – 9:10 a.m.	Overview of NI 93-101	Aaron Unterman (Senior Legal Counsel, Derivatives, OSC)
9:10 – 10:30 a.m.	Topic 1: Institutional Derivatives Market	Kevin Fine - Moderator (Director, Derivatives, OSC) Ron Hoover (CIBC Capital Markets) Mike Fisher (BMO Capital Markets) Jim Byrd (RBC Capital Markets) Mary Condon (Associate Dean and Professor, Osgoode Hall Law School) Brad Tate (OMERS Captial Markets) Greg O’Donahue (Ontario Teachers’ Pension Plan Board) Breann Kirincich (BlackRock)
10:30 – 10:40 a.m.	Break
10:40 – 11:45 a.m.	Topic 2: Retail Derivatives Market	Kevin Fine - Moderator (Director, Derivatives, OSC) Mary Condon (Associate Dean and Professor, Osgoode Hall Law School) Shannon Seitz (Western Union) Bob Wong (OTT Financial Canada)
11:45 – 11:50 a.m.	Closing	Kevin Fine (Director, Derivatives, OSC)

 

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in the capital markets. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at www.osc.ca.

 

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