OSC Announces Roundtable Agenda on Derivatives Registration and Business Conduct Regimes

TORONTO - The Ontario Securities Commission (OSC) today announced details for an upcoming roundtable it will host as part of the Canadian Securities Administrators (CSA)’s ongoing consultation process on the proposed derivatives registration and business conduct regimes.

The roundtable will take place on September 20, 2018, from 9:00 a.m. to 12:00 p.m. at the Globe and Mail Centre, located at 351 King Street East in Toronto, Ontario. Panel discussions will focus on policy proposals outlined in the notices.

The event will include three panel discussions: one on business conduct for institutional and retail markets; a second on registration for advisors, dealers and retail markets; and a third on registration for financial institutions (federally and provincially regulated).

Any interested parties wishing to attend the roundtable should register online by visiting the OSC's website. Space is limited.

A transcript will be posted on the OSC's website following the roundtable.

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	Maureen Jensen Chair and Chief Executive Officer, OSC
9:05 - 9:50 a.m.	Topic 1: Business Conduct - Institutional and Retail Markets	Aaron Unterman - Moderator Senior Legal Counsel, Derivatives, OSC Jennifer Levin National Futures Association Greg O'Donohue Ontario Teachers' Pension Plan Allan MacLean-Howard CI Investments, Inc. Nadeem Siddiq Scotiabank
9:50 - 10:35 a.m.	Topic 2: Registration - Advisors, Dealers and Retail Markets	Paul Hayward and Alison Beer - Moderators Senior Legal Counsel, CRR and Legal Counsel, Derivatives, OSC Melissa Ghislanzoni Portfolio Management Association of Canada Larry Bates Investor Advisory Panel Bob Wong OTT Financial Canada Richard Corner Investment Industry Regulatory Organization of Canada
10:35 - 10:45 a.m.	Break
10:45 - 11:55 a.m.	Topic 3: Registration - Financial Institutions (Federally and Provincially Regulated)	Kevin Fine - Moderator Director, Derivatives, OSC Mary Condon Osgoode Hall Law School Srijan Agrawal Royal Bank of Canada Waqaas Fahmawi Bank of America Lise-Estelle Brault Autorité des marchés financiers
11:55 - 12:00 p.m.	Closing	Kevin Fine Director, Derivatives, OSC

 

Details regarding the CSA’s proposals can be found in Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101 CP Derivatives: Business Conduct.

 

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair and efficient capital markets and confidence in the capital markets, and to contribute to the stability of the financial system and the reduction of systemic risk. 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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