OSC Dialogue 2019

Regulation for
Confidence
and Growth

November 21, 2019
Metro Toronto Convention Centre

Thank you for your interest in OSC Dialogue 2019. At this time, registration for the event has closed. If you have any questions please email dialogue@osc.gov.on.ca.

#OSCDialogue


 

 
 



About

Confidence in capital markets underpins the ability to create value, build wealth and fuel innovation.
 

Join us at OSC Dialogue 2019 as financial industry leaders, senior regulators and investors discuss collaborative strategies to drive efficiency and economic growth, while fostering market confidence.

Speakers


Hon. Rod Phillips
 
Hon. Rod Phillips
Minister of Finance, Ontario
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Stephen Poloz
 
Stephen S. Poloz
Governor, Bank of Canada
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Maureen Jensen
 
Maureen Jensen
Chair and CEO,
Ontario Securities Commission

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Joe Brusuelas
 
Joe Brusuelas
Chief Economist, RSM US LLP
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Beata Caranci
 
Beata Caranci
Chief Economist and Senior Vice-President, TD Bank Group
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Eric Lascelles
 
Eric Lascelles
Chief Economist,
RBC Global Asset Management Inc.

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Benjamin Tal
 
Benjamin Tal
Deputy Chief Economist,
CIBC Capital Markets

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Hon. Rod Phillips
Cathie Armour
Commissioner, Australian Securities and Investments Commission
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Elisabeth Roegele
 
Elisabeth Roegele
Chief Executive Director Securities Supervision/Asset-Management, Federal Financial Supervisory Authority (BaFin)
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Ashley Alder
 
Jeremy Rudin
Superintendent, Office of the Superintendent of Financial Institutions Canada
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Robert W. Cook
 
Robert W. Cook
President and CEO, FINRA
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Tim Moseley
 
Tim Moseley
Vice-Chair,
Ontario Securities Commission

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Raymond Chan
 
Raymond Chan
Director, Investment Funds & Structured Products, Ontario Securities Commission
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Pat Chaukos
 
Pat Chaukos
Deputy Director, LaunchPad, Ontario Securities Commission
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Kevin Fine
 
Kevin Fine
Director, Derivatives, Ontario Securities Commission
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Tyler Fleming
 
Tyler Fleming
Director, Investor Office, Ontario Securities Commission
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Debra Foubert
 
Debra Foubert
Director, Compliance & Registrant Regulation, Ontario Securities Commission
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Tyler Fleming
 
Susan Greenglass
Director, Market Regulation, Ontario Securities Commission
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Debra Foubert
 
Naizam Kanji
Director, Office of Mergers & Acquisitions, Ontario Securities Commission
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Jeff Kehoe
 
Jeff Kehoe
Director, Enforcement, Ontario Securities Commission
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Debra Foubert
 
Sonny Randhawa
Director, Corporate Finance, Ontario Securities Commission
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Moderators

Paul Redman
 
Paul Redman
Chief Economist and Head of Research, Ontario Securities Commission
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Andrew Willis
 
Andrew Willis
Business Columnist, Report on Business, The Globe and Mail
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Leslie Byberg
 
Leslie Byberg
Executive Director,
Ontario Securities Commission

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Agenda

7:45

Registration opens
Continental breakfast available

8:30

Welcome

  • Lawrence Haber, Lead Director, OSC
8:35

Opening remarks

  • Hon. Rod Phillips, Minister of Finance, Ontario
8:45

Economic change and the path forward
Keynote discussion

Maureen Jensen, OSC Chair and CEO, sits down with Stephen S. Poloz, Governor of the Bank of Canada, to discuss their experiences navigating a changing global economy. They consider the impact of innovation, and offer insight into their respective organizations’ approach to addressing emerging risks and fostering a safe and effective financial system.

  • Maureen Jensen, Chair and CEO, OSC
  • Stephen S. Poloz, Governor, Bank of Canada

9:30

Uncovering opportunity amid uncertainty
Panel

Changing global markets present new opportunities, even in an environment of slowing global growth and trade uncertainty. Leading economists discuss where global markets are headed and the impact at the macroeconomic level. Where do the opportunities lie for Canadians and Canadian businesses?

  • Joe Brusuelas, Chief Economist, RSM US LLP
  • Beata Caranci, Chief Economist and Senior Vice-President, TD Bank Group
  • Eric Lascelles, Chief Economist, RBC Global Asset Management Inc.
  • Benjamin Tal, Deputy Chief Economist, CIBC Capital Markets
  • Moderator: Paul Redman, Chief Economist and Head of Research, OSC
10:40

Break

11:00

Coming together to regulate today’s global marketplace
Panel

On a global level, markets are challenging regulators to be more agile, flexible and collaborative. An international panel discuss the future of securities regulation in light of geopolitical developments in each of their jurisdictions, adapting to a data-driven marketplace and achieving effective supervision across borders.

  • Cathie Armour, Commissioner, Australian Securities and Investments Commission
  • Maureen Jensen, Chair and CEO, OSC
  • Elisabeth Roegele, Chief Executive Director Securities Supervision/Asset-Management, Federal Financial Supervisory Authority (BaFin)
  • Jeremy Rudin, Superintendent, Office of the Superintendent of Financial Institutions Canada
  • Moderator: Andrew Willis, Business Columnist, Report on Business, The Globe and Mail
12:10

Networking lunch

1:15

Welcome back

  • Lawrence Haber, Lead Director, OSC
1:20

Lessons in streamlining regulation: the U.S. experience
Case study discussion

In 2017, FINRA launched a multi-year self-improvement initiative called FINRA360 to ensure the self-regulatory organization operates as effectively and efficiently as possible. As part of the initiative, FINRA sought feedback from member firms, investors and other stakeholders, and developed a framework for operational change. It has since made a number of significant changes. This case study offers a rare glimpse into one regulator’s efforts to promote efficient and effective regulatory oversight and enhance transparency while emphasizing changes that protect investors and guard the integrity of the market.

  • Robert W. Cook, President and CEO, FINRA
  • Tim Moseley, Vice-Chair, OSC
2:05

Break

2:25

Rising to meet the challenge of evolving markets
Panel

In this rapid-fire session, members of the OSC leadership team offer their take on the topical issues in regulation today, and what it means for the OSC. The discussion will be wide ranging - from cannabis to crypto assets, from alt funds to big data. Team members will discuss regulatory changes underway, challenges to effective oversight, and how the OSC is adapting to evolving markets, while keeping investor needs front and centre.

  • Raymond Chan, Director, Investment Funds & Structured Products, OSC
  • Pat Chaukos, Deputy Director, LaunchPad, OSC
  • Kevin Fine, Director, Derivatives, OSC
  • Tyler Fleming, Director, Investor Office, OSC
  • Debra Foubert, Director, Compliance & Registrant Regulation, OSC
  • Susan Greenglass, Director, Market Regulation, OSC
  • Naizam Kanji, Director, Office of Mergers & Acquisitions, OSC
  • Jeff Kehoe, Director, Enforcement, OSC
  • Sonny Randhawa, Director, Corporate Finance, OSC
  • Moderator: Leslie Byberg, Executive Director, OSC
3:40

Close

  • Grant Vingoe, Vice-Chair, OSC

 
 

Continuing Education/Continuing Professional Development at OSC Dialogue 2019

 

IIROC Continuing Education
Attendance at OSC Dialogue 2019 is eligible for 1.75 Professional Development CE credits, and 3.00 Compliance CE credits.

FP Canada Continuing Education
Attendance at OSC Dialogue 2019 is eligible for 4.00 Financial Planning Credits and 1.00 Practice Management Credit.

Law Society of Ontario
Attendance at OSC Dialogue 2019 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit the Law Society of Ontario’s website.

CPA Ontario
Attendance at OSC Dialogue 2019 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit CPA Ontario Simple Guide to CPD Requirements

Venue

Metro Toronto Convention Centre

target icon

Metro Toronto Convention Centre,
South Building,
Level 700 / Room 718,
222 Bremner Boulevard,
Toronto, ON
M5V 3L9

OSC Dialogue 2019

Regulation for
Confidence
and Growth

November 21, 2019
Metro Toronto Convention Centre

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