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News Release


Floor 22 - 20 Queen Street West
Toronto, Ontario
M5H 3S8
Commission des
valeurs mobilières
de l'Ontario

August 21, 2018

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.




8:30 - 9:00 a.m.


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

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.


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.


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


For Media Inquiries:
For Investor Inquiries: OSC Contact Centre
1-877-785-1555 (Toll Free)
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