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  • OSC Dialogue 2018

    November 08, 2018

    Other

    OSC Dialogue 2018

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Date: November 08, 2018
    Time: 8:00 AM - 4:00 PM
    Location: Four Seasons Hotel Toronto - 60 Yorkville Ave.
    Event Details:

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Subscribe for updates

  • Roundtable on Derivatives Registration and Business Conduct Rules

    September 20, 2018 @ 9:00 AM - 12:00 PM

    Other

    Roundtable on Derivatives Registration and Business Conduct Rules

    Roundtable to discuss stakeholder input on the CSA notices 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

    Date: September 20, 2018
    Time: 9:00 AM - 12:00 PM
    Location: The Globe and Mail Centre, located at 351 King Street East in Toronto, Ontario.
    Event Details:

    Roundtable to discuss stakeholder input on the CSA notices 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 event will feature panel discussions on the major policy proposals outlined in the notices. Panellists will be selected to reflect a diversity of roles and views. Representatives of banks, pension funds and buy-side market participants have been invited.

    The OSC will provide additional details, including the agenda, list of panellists and registration details in August 2018.

  • OSC LaunchPad Information Day

    June 27, 2018 @ 2:00 PM -

    Speech

    OSC LaunchPad Information Day

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    Date: June 27, 2018
    Time: 2:00 PM -
    Location: Ontario Securities Commission 17th Floor, Cadillac Building 20 Queen St. W. Toronto, ON M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    We welcome members of the community to come in, have a coffee, and chat about developments that may affect their business, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the community, ONLY 1 registrant per firm will be invited to attend this session.

    Register

  • OSC in the Community (Markham)

    June 26, 2018 @ 9:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC will be exhibiting at the 2018 Seniors’ Day event together with York Regional Police and Markham Fire & Emergency Services. Drop by the OSC’s exhibit table to speak with OSC staff and receive free resources.

    Date: June 26, 2018
    Time: 9:00 AM - 3:00 PM
    Location: Aaniin Community Centre, 5665 14th Avenue, Markham
    Event Details:

    OSC will be exhibiting at the 2018 Seniors’ Day event together with York Regional Police and Markham Fire & Emergency Services. Drop by the OSC’s exhibit table to speak with OSC staff and receive free resources.

  • OSC in the Community (Geraldton)

    June 22, 2018 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Geraldton)

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by Geraldton EPC. Drop by the OSC’s exhibit table or attend the OSC presentation to learn about investment fraud prevention.

    Date: June 22, 2018
    Time: 10:00 AM - 3:00 PM
    Location: Geraldton Community Centre, 200 Wardrope Avenue East, Geraldton
    Event Details:

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by Geraldton EPC. Drop by the OSC’s exhibit table or attend the OSC presentation to learn about investment fraud prevention.

  • OSC in the Community (Ignace)

    June 20, 2018 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Ignace)

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by the Ignace Silver Tops. Drop by the exhibit table or attend the OSC presentation to learn about investment fraud prevention.

    Date: June 20, 2018
    Time: 10:00 AM - 3:00 PM
    Location: Ignace Recreation Centre, 200 Beaver Street, Ignace
    Event Details:

    OSC will be exhibiting and speaking at the Seniors Information and Active Living Fair hosted by the Ignace Silver Tops. Drop by the exhibit table or attend the OSC presentation to learn about investment fraud prevention.

  • Ontario Bar Association - Professional Development: Your Comprehensive Guide to Blockchain

    June 18, 2018 @ 10:05 AM - 10:30 AM

    Speech

    Ontario Bar Association - Professional Development: Your Comprehensive Guide to Blockchain

    Blockchain technology is making strides towards fundamentally changing the way we do business. Don’t get left behind!

    Date: June 18, 2018
    Time: 10:05 AM - 10:30 AM
    Location: Twenty Toronto Street Conferences and Events, 20 Toronto Street, 2nd Floor
    Event Details:

    Blockchain technology is making strides towards fundamentally changing the way we do business. Don’t get left behind! Ensure you are up to speed on how blockchain works, as well the opportunities, potential pitfalls and key legal challenges. Get the expertise you need to advise your clients with confidence in this evolving space.

    Panel: Capital Market Challenges: Blockchain and Initial Coin Offerings

    Panelists: Pat Chaukos, Deputy Director, OSC LaunchPad, Policy. Jason Saltzman, Gowling WLG

    Register

  • OSC in the Community (Toronto)

    June 15, 2018 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to newcomers at the Learning Disability Association about saving, investing and investment fraud prevention.

    Date: June 15, 2018
    Time: 1:30 PM - 2:30 PM
    Location: 121 Willowdale Ave., Ste. 203, Toronto
    Event Details: OSC staff will be speaking to newcomers at the Learning Disability Association about saving, investing and investment fraud prevention.
  • OSC in the Community (Teletownhall)

    June 14, 2018 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the OSC teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions.

    Date: June 14, 2018
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhall
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the OSC teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. To participate by phone or online, please register by June 14, 2018, 12:00pm.

  • OSC in the Community (Toronto)

    June 13, 2018 @ 10:30 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    10:30am – 11:30am; 1:00pm – 2:00pm

    OSC staff will be speaking to LINC students about saving, investing, and investment fraud prevention.

    Date: June 13, 2018
    Time: 10:30 AM - 2:00 PM
    Location: Lamp CHC, 3363 Bloor Street West, Toronto
    Event Details:

    10:30am – 11:30am; 1:00pm – 2:00pm

    OSC staff will be speaking to LINC students about saving, investing, and investment fraud prevention.

  • OSC in the Community (Richmond Hill)

    June 12, 2018 @ 11:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

    Date: June 12, 2018
    Time: 11:00 AM - 12:30 PM
    Location: Mon Sheong, 11199 Yonge Street, Richmond Hill
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

  • OSC in the Community (Markham)

    June 11, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking about investment fraud and where find unbiased investing resources to students of the Professional Excellence in Financial Services (EFS) Bridging Program at Seneca College.

    Date: June 11, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Seneca College, 8 The Seneca Way, Markham
    Event Details:

    OSC staff will be speaking about investment fraud and where find unbiased investing resources to students of the Professional Excellence in Financial Services (EFS) Bridging Program at Seneca College.

  • OSC in the Community (Elliott Lake)

    June 08, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Elliott Lake)

    OSC staff will be speaking to community members about investment fraud prevention and the client-advisor relationship.

    Date: June 08, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Civic Centre Theatre, 255 King's Hwy 108, Elliott Lake
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and the client-advisor relationship.

  • Kat Szybiak and Tyler Fleming to speak at PMAC Montreal Compliance Forum

    June 07, 2018 @ 8:35 AM - 10:15 AM

    Speech

    Kat Szybiak and Tyler Fleming to speak at PMAC Montreal Compliance Forum

    The Montreal Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.

    Date: June 07, 2018
    Time: 8:35 AM - 10:15 AM
    Location: Sofitel Montreal Le Carré Doré, 1155 Sherbrooke St W, Montreal, QC
    Event Details:

    The Montreal Regulatory & Compliance Forum will cover a variety of topics that address new developments, critical issues, and insights on how to sustain a successful compliance program.

    08:35 – 10:15

    Regulatory Roundtable with the AMF and the OSC

    Overview of recent and upcoming regulatory initiatives, key audit findings and enforcement initiatives.

    Moderator

    Alix d’Anglejan-Chatillon, Partner, Stikeman Elliott LLP

    Speakers:

    • Sophie Jean, Director, Supervision of Intermediaries Autorité des marchés financiers (AMF)
    • Hugo Lacroix, Senior Director, Investment Funds Management Autorité des marchés financiers (AMF)
    • Kat Szybiak, Senior Legal Counsel, Compliance and Registrant Regulation, Ontario Securities Commission (OSC)


    10:45 – 12:00

    How to Protect Senior Clients – Vulnerable Investors and your Firm

    Join legal, compliance, elder law and regulatory experts in a practical discussion of how firms can improve their practices and processes with respect to senior and vulnerable clients.

    Speakers

    • Tyler Fleming, Director, Investor Office, Ontario Securities Commission (OSC)
    • Laura Paglia, Partner, Borden Ladner Gervais LLP
    • Lorne Steinberg, President, Lorne Steinberg Wealth Management


    More information

  • Andre Moniz to speak at The Canadian Institute

    June 07, 2018 @ 9:50 AM -

    Speech

    Andre Moniz to speak at The Canadian Institute

    Conducting Internal Investigations: Focus on Whistleblowing

    What is it about?

    Date: June 07, 2018
    Time: 9:50 AM -
    Location: Old Mill, Toronto, ON
    Event Details:

    Conducting Internal Investigations: Focus on Whistleblowing

    What is it about?

     Handling Concerns Raised by Whistleblowers

    • Who are whistleblowers and what are the whistleblower myths
    • Canadian whistleblower laws and what protection they really offer for whistleblowers
    • Best practices from other countries, and how elements of these can be applied in Canada
    • Key strategies for working with and protecting whistleblowers in your investigations

     
    OSC’s Whistleblower Program: What You Need to Know

    • Overview of the OSC’s Whistleblower Program: experience to date
    • Key features and protections of the Program
    • Financial incentives and whistleblower protections
    • Organizational preparedness and targeted enterprise risk management


    Learn more

  • Pat Chaukos and Tim Moseley to speak at SecOps North America conference

    June 06, 2018 @ 9:20 AM - 10:20 AM

    Speech

    Pat Chaukos and Tim Moseley to speak at SecOps North America conference

    CANADIAN MARKETS GRAPPLE WITH CRYPTO CURRENCIES

    Canadian regulators and major banks are grappling with the sudden growth in crypto currencies, initial coin offerings (ICO) and financial instruments that rely on virtual currencies. While Canadian regulators, other authorities, exchanges and institutions have been aware of crypto currencies, they are now paying closer attention to what has turned into a phenomenon. As regulators mull new rules and enforcement matters, major banks are implementing or exploring bans upon the usage of virtual currencies. At the same time, advocates of crypto currencies are pressing for realistic regulation that will not hinder the growth of a market generating a lot of excitement.

    Date: June 06, 2018
    Time: 9:20 AM - 10:20 AM
    Location: Hyatt Regency Toronto, 370 King St W, Toronto, Ontario M5V 1J9, Canada
    Event Details:

    CANADIAN MARKETS GRAPPLE WITH CRYPTO CURRENCIES

    Canadian regulators and major banks are grappling with the sudden growth in crypto currencies, initial coin offerings (ICO) and financial instruments that rely on virtual currencies. While Canadian regulators, other authorities, exchanges and institutions have been aware of crypto currencies, they are now paying closer attention to what has turned into a phenomenon. As regulators mull new rules and enforcement matters, major banks are implementing or exploring bans upon the usage of virtual currencies. At the same time, advocates of crypto currencies are pressing for realistic regulation that will not hinder the growth of a market generating a lot of excitement.

    This panel will explore the dynamics and the implications of the crypto currency craze. 

    • Where are the Canadian authorities doing as far as new regulations for crypto currency transactions?
    • Will Canadian regulators be working in conjunction with the SEC, CFTC and FINRA?
    • How should financial services firms react to ICOs and the companies that come from them?
    • What kinds of trading protections should financial services firms put in place now before any new regulation?
    • Should financial services firms rewrite their policies to accommodate crypto currencies, new forms of money laundering and terrorist financing?


    Moderator:
      Tim Moseley, Vice Chair, Ontario Securities Commission

    Panelists: Stuart Davis, Chief Anti-Money LaunderingOfficer, BMO Financial Group

    Kerri-Ann Bent, Americas Head of Sanctions, Corporate and Investment Bank, Barclays

    Peter Conroy, President, Shorcan Brokers Limited; TMX Group Inc.

    Pat Chaukos, Deputy Director | OSC LaunchPad | Policy, Ontario Securities Commission

    Learn more

  • OSC in the Community (Etobicoke)

    June 06, 2018 @ 1:15 PM - 2:15 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking at the Ontario College of Retirees annual meeting about investment fraud prevention and what questions to ask before you invest.

    Date: June 06, 2018
    Time: 1:15 PM - 2:15 PM
    Location: Humber College, 2 Col. Samuel Smith Drive, Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking at the Ontario College of Retirees annual meeting about investment fraud prevention and what questions to ask before you invest.

  • OSC staff to speak at 16th Annual OSC, TSX and IIROC Update

    June 05, 2018 @ 8:00 AM - 11:00 AM

    Speech

    OSC staff to speak at 16th Annual OSC, TSX and IIROC Update

    Join your colleagues to gain practical advice and updates on the ever-changing world of securities and business law at this valuable annual program.

    Date: June 05, 2018
    Time: 8:00 AM - 11:00 AM
    Location: Twenty Toronto Street Conferences and Events
    Event Details:

    Join your colleagues to gain practical advice and updates on the ever-changing world of securities and business law at this valuable annual program. 

    You will hear directly from senior representatives of the Ontario Securities Commission, the Toronto Stock Exchange and the Investment Industry Regulatory Organization of Canada about new regulations, developments and policy initiatives.

    OSC staff participating:

    • Johanna Superina, Deputy Director, Enforcement Branch
    • Andre Moniz, Manager, Office of the Whistleblower
    • Katrina Janke, Senior Legal Counsel, Corporate Finance Branch
    • Steven Oh, Senior Legal Counsel, Corporate Finance Branch
    • Adeline Lee, Senior Legal Counsel, Mergers and Acquisitions


    This program is eligible for up to 2.5 Substantive Hours 

    The OBA has been approved as an Accredited Provider  of Professionalism Content by The Law Society of  Upper Canada. 

    More Information

  • OSC in the Community (Bowmanville)

    June 04, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Bowmanville)

    OSC staff will be speaking to community members about fraud prevention and the client-advisor relationship.

    Date: June 04, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Bowmanville Older Adults Association, 26 Beech Ave., Bowmanville
    Event Details:

    OSC staff will be speaking to community members about fraud prevention and the client-advisor relationship.

  • Naizam Kanji and Joanne Matear to speak at CIRI's 2018 Annual Conference

    June 04, 2018 @ 3:00 PM - 4:00 PM

    Speech

    Naizam Kanji and  Joanne Matear to speak at CIRI's 2018 Annual Conference

    The regulatory environment continues to change and IROs need to know how their companies will be impacted. During this session, we will discuss the new TSX website disclosures; the initiative to reduce the regulatory burden on issuers; women on Boards and in management; the proxy voting infrastructure; and more.

    Date: June 04, 2018
    Time: 3:00 PM - 4:00 PM
    Location: Toronto Marriott Downtown Eaton Centre Hotel, 525 Bay St., Toronto, ON M5G 2L2
    Event Details:

    The regulatory environment continues to change and IROs need to know how their companies will be impacted. During this session, we will discuss the new TSX website disclosures; the initiative to reduce the regulatory burden on issuers; women on Boards and in management; the proxy voting infrastructure; and more.

    Valérie Douville, Senior Manager, Compliance & Disclosure, TSX
    Naizam Kanji, Director, Office of Mergers & Acquisitions, Ontario Securities Commission
    Joanne Matear, Manager, Corporate Finance, Ontario Securities Commission

    Learn more

  • OSC in the Community (Toronto)

    June 01, 2018 @ 10:00 AM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be exhibiting at the Toronto Seniors Forum, Making Things Happen event. Drop by the OSC table to speak with staff and get free resources.

    Date: June 01, 2018
    Time: 10:00 AM - 2:00 PM
    Location: Toronto City Hall, 100 Queen St. W. Toronto
    Event Details:

    OSC staff will be exhibiting at the Toronto Seniors Forum, Making Things Happen event. Drop by the OSC table to speak with staff and get free resources.

  • OSC Staff to speak at PRI Climate Forum: Toronto

    May 31, 2018 @ 10:05 AM - 10:35 AM

    Speech

    OSC Staff to speak at PRI Climate Forum: Toronto

    CSA Report on Climate Change-Related Disclosure

    • Oujala Motala, Accountant - Corporate Finance
    • Steven Oh, Senior Legal Counsel - Corporate Finance

     

    Date: May 31, 2018
    Time: 10:05 AM - 10:35 AM
    Location: McCarthy Tétrault LLP, Suite 5300, TD Bank Tower Box 48, 66 Wellington Street West, Toronto ON M5K 1E6
    Event Details:

    CSA Report on Climate Change-Related Disclosure

    • Oujala Motala, Accountant - Corporate Finance
    • Steven Oh, Senior Legal Counsel - Corporate Finance


    The PRI Climate Forum: Toronto launches a new global series of climate events which will focus on key climate topics and practical advice for investors.

    This full-day event will feature brand-new content including the launch of a Climate Scenario Analysis Tool, a guide to investing in the low carbon transition, and a guide to engagement on climate lobbying. For full details, please read the agenda below.

    Learn more

  • OSC in the Community (Burlington)

    May 28, 2018 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Burlington)

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

    Date: May 28, 2018
    Time: 6:30 PM - 8:00 PM
    Location: Tansley Woods Public Library, 1996 Itabashi Way, Burlington
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

  • Sarah Reid to speak at Design Intersections: Design + Data + Behavior

    May 24, 2018 @ 8:30 AM -

    Speech

    Sarah Reid to speak at Design Intersections: Design + Data + Behavior

    Thu, May 24, 2018, 8:30 AM – Fri, May 25, 2018, 3:30 PM

    In algorithms we trust? Navigating systems-based biases

    Behavioral economics posits that humans are “irrational” and frequently don’t act in their own best or long-term interests. “Bias-beating” solutions — like Applied to ensure more equitable hiring — and machine learning and AI-enabled services might be able to support human decision-making in ways that lead to better overall outcomes…

    Date: May 24, 2018
    Time: 8:30 AM -
    Location: Chez, 247 East Ontario Street, Chicago, IL 60611, United States
    Event Details:

    Thu, May 24, 2018, 8:30 AM – Fri, May 25, 2018, 3:30 PM

    In algorithms we trust? Navigating systems-based biases

    Behavioral economics posits that humans are “irrational” and frequently don’t act in their own best or long-term interests. “Bias-beating” solutions — like Applied to ensure more equitable hiring — and machine learning and AI-enabled services might be able to support human decision-making in ways that lead to better overall outcomes… except that biases can also be baked into technologies, and are often deeply embedded and reinforced within organizational systems to feel “natural” or “what good looks like”. 

    How can we better ensure that “nudge” solutions or data-driven decisions are not stopping short, or inadvertently reinforcing inequitable systems, but instead using behavior and data for powers of good?

    How can we most effectively balance what’s measurable (i.e. actual behaviors) with user context or what didn’t happen (i.e. how do data and BE approaches best address problems of non-participants, such as helping the unbanked, who don’t leave a data trail?)

    Who decides, what defines, “in my (user) best interest” when gauging outcomes for individuals v. society, or now v. the future?
    Learn More

    To read 5by5’s conversation with Sarah Reid, Social & Behavioural Insights Senior Advisor, Ontario Securities Commission about what we can learn from the recent breaches in tech to design a more ethical tomorrow.
    Click here

  • OSC in the Community (Toronto)

    May 24, 2018 @ 11:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

    Date: May 24, 2018
    Time: 11:00 AM - 12:30 PM
    Location: Better Living Health & Community Services, 1 Overland Drive, Toronto
    Event Details:

    OSC staff will be speaking to community members about investment fraud prevention and what questions to ask before you invest.

  • Tyler Fleming to speak at Vancouver Regulatory & Compliance Forum

    May 24, 2018 @ 10:45 AM - 12:00 PM

    Speech

    Tyler Fleming to speak at Vancouver Regulatory & Compliance Forum

    How to protect senior clients, vulnerable investors and your firm.

    Join legal, compliance, elder law and regulatory experts in a practical discussion on how firms can improve their practices and processes with respect to senior and vulnerable clients.

    Date: May 24, 2018
    Time: 10:45 AM - 12:00 PM
    Location: Rosewood Hotel Georgia, 801 West Georgia St., Vancouver, BC
    Event Details:

    How to protect senior clients, vulnerable investors and your firm.

    Join legal, compliance, elder law and regulatory experts in a practical discussion on how firms can improve their practices and processes with respect to senior and vulnerable clients.

    Moderator: Shelley Balshine, Senior In-House Counsel, Connor, Clark & Lunn Financial Group

    Panellists:

    Tyler Fleming, Director, Investor Office, Ontario Securities Commission
    Catherine Romanko, Public Guardian and Trustee for British Columbia

    Lean more

  • OSC in the Community (Markham)

    May 17, 2018 @ 7:00 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to members of the Greensborough Seniors Wellness Club about investment fraud prevention and what questions to ask before you invest.

    Date: May 17, 2018
    Time: 7:00 PM - 8:00 PM
    Location: Mt. Joy Public School, 281 Williamson Road, Markham
    Event Details:

    OSC staff will be speaking to members of the Greensborough Seniors Wellness Club about investment fraud prevention and what questions to ask before you invest.

  • OSC in the Community (Toronto)

    May 17, 2018 @ 2:15 PM - 3:15 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking at Sprint Senior Care about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

    Date: May 17, 2018
    Time: 2:15 PM - 3:15 PM
    Location: Sprint Senior Care, 140 Merton Street, 2nd Floor, Toronto
    Event Details:

    OSC staff will be speaking at Sprint Senior Care about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

  • Pat Chaukos to speak at Cryptocurrencies: Balancing Regulation & Innovation in a Booming Market

    May 16, 2018 @ 11:30 AM - 1:30 PM

    Speech

    Pat Chaukos to speak at Cryptocurrencies: Balancing Regulation & Innovation in a Booming Market

    We’ve seen the push and pull between innovation and regulation play out with a number of disruptive technologies and business models, notably with companies like Uber and Facebook. The rapid growth of the cryptocurrency market has led to the same tension between advocates of the technology and securities regulators. Our panelists, some of the leading voices in this rapidly-evolving space...

    Date: May 16, 2018
    Time: 11:30 AM - 1:30 PM
    Location: Fairmont Royal York - 100 Front Street West, Toronto
    Event Details:

    Event description:

    We’ve seen the push and pull between innovation and regulation play out with a number of disruptive technologies and business models, notably with companies like Uber and Facebook. The rapid growth of the cryptocurrency market has led to the same tension between advocates of the technology and securities regulators. Our panelists, some of the leading voices in this rapidly-evolving space, will share their insight: how do we keep pace with change in a fast-moving, highly competitive space? Is enough being done to protect the public interest? What is the right path forward for the cryptocurrency market in Ontario?

    Panelists:

    • Cole Diamond, CEO, Coinsquare
    • Som Seif, President & CEO, Purpose Investments
    • Pat Chaukos, Chief, OSC Launchpad, Ontario Securities Commission

    Moderated by:

    Eric So, Co-Founder, Managing Director & Chief Strategy Officer, Globalive Technology Partners Inc.

    Learn more
  • OSC in the Community (St. Catharines)

    May 15, 2018 @ 11:15 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (St. Catharines)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 3 meeting about fraud prevention and the client-advisor relationship.

    Date: May 15, 2018
    Time: 11:15 AM - 12:00 PM
    Location: Holiday Inn, 327 Ontario Street, St. Catharines
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 3 meeting about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Toronto)

    May 14, 2018 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking at the South Asian Welcome Centre about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

    Date: May 14, 2018
    Time: 12:00 PM - 1:30 PM
    Location: 800 Lansdowne, Unit 1, Toronto
    Event Details:

    OSC staff will be speaking at the South Asian Welcome Centre about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

  • OSC in the Community (Scarborough)

    May 12, 2018 @ 3:45 PM - 5:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to CPAC members about investment fraud and the client-advisor relationship.

    Date: May 12, 2018
    Time: 3:45 PM - 5:00 PM
    Location: 4150 Finch Avenue, Toronto (Scarborough)
    Event Details:

    OSC staff will be speaking to CPAC members about investment fraud and the client-advisor relationship.

  • Susan Greenglass to speak at TMX Annual Equities Trading Conference

    May 09, 2018 @ 8:00 AM - 7:30 PM

    Speech

    Susan Greenglass to speak at TMX Annual Equities Trading Conference

    Regulatory Landscape: Update and Discussion (panel)

    Moderator:  Jonathan Sylvestre, TMX Group

    Panelists:  Susan Greenglass, OSC; Victoria Pinnington, IIROC; and Lynn Tsutsumi, ASC

    Date: May 09, 2018
    Time: 8:00 AM - 7:30 PM
    Location: TIFF Bell Lightbox, Reitman Square, 350 King Street West
    Event Details:

    Regulatory Landscape: Update and Discussion (panel)

    Moderator:  Jonathan Sylvestre, TMX Group

    Panelists:  Susan Greenglass, OSC; Victoria Pinnington, IIROC; and Lynn Tsutsumi, ASC

    Learn more

  • OSC in the Community (Thunder Bay)

    May 09, 2018 @ 11:15 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Thunder Bay)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 8 meeting about fraud prevention and the client-advisor relationship.

    Date: May 09, 2018
    Time: 11:15 AM - 12:00 PM
    Location: Italian Cultural Centre, 132 South Algoma Street, Thunder Bay
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 8 meeting about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Sudbury)

    May 08, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Sudbury)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 7 meeting about fraud prevention and the client-advisor relationship.

    Date: May 08, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Clarion Hotel, 117 Elm Street, Sudbury
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 7 meeting about fraud prevention and the client-advisor relationship.

  • David Surat speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    May 04, 2018 @ 9:30 AM -

    Speech

    David Surat speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    Breakout B: Exempt Market Dealers

    The exempt market continues to evolve, creating many challenges associated with compliance. Take advantage of this hands-on session to ready your organization for the future.

    Date: May 04, 2018
    Time: 9:30 AM -
    Location: Sheraton Centre Toronto, ON
    Event Details:

    Breakout B: Exempt Market Dealers

    The exempt market continues to evolve, creating many challenges associated with compliance. Take advantage of this hands-on session to ready your organization for the future. Adopt best practices on:

    • Solving compliance deficiencies
    • Restricted market dealersNew limits on EMDS
    • Best practices
    • Dispute resolution
    • Prospectus exemptions
    • Suitability for clients
    • Proper documentation
    • Know your client
    • Related party products
    • Best interest standard
    • Create a plan to tackle your most pressing challenges.
    • Brian Koscak, President, Chief Compliance Officer & General Counsel, Pinnacle Wealth Brokers Inc.
    • David Surat, Corporate Finance, Senior Legal Counsel, Ontario Securities Commission

     

    Learn More

  • Meenu Joshi speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    May 04, 2018 @ 4:00 PM -

    Speech

    Meenu Joshi speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    WHISTLEBLOWERS

    Protect Internal Reporting of Misconduct to Strengthen your Monitoring

    Date: May 04, 2018
    Time: 4:00 PM -
    Location: Sheraton Centre Toronto, ON
    Event Details:

    WHISTLEBLOWERS

    Protect Internal Reporting of Misconduct to Strengthen your Monitoring
    The OSC implemented its whistleblower program last July. Respond to your employees’ ethical concerns to boost internal control and enhance transparency. Walk away with an action plan to:

    Improve your internal control of misconducts
    Ensure that your internal channels allow safe reporting
    Assess the impact of whistleblower awards in your province
    Improve internal controls to reduce the likelihood of misconduct within your firm

    • Meenu Joshi, Senior Forensic Manager, OSC

    Learn More

  • Craig Waldie to speak at Student-Industry Mineral Exploration Workshop (S-IMEW)

    May 04, 2018 @ 1:30 PM - 2:15 PM

    Speech

    Craig Waldie to speak at Student-Industry Mineral Exploration Workshop (S-IMEW)

    Craig Waldie OSC Senior Geologist to speak at Student-Industry Mineral Exploration Workshop (S-IMEW) titled, “What the heck is NI 43-101?”

    Date: May 04, 2018
    Time: 1:30 PM - 2:15 PM
    Location: Cambrian College, Sudbury, Ontario
    Event Details:

    Craig Waldie OSC Senior Geologist to speak at Student-Industry Mineral Exploration Workshop (S-IMEW) titled, “What the heck is NI 43-101?”


    http://www.pdac.ca/members/students/s-imew/s-imew-2018
  • Registrant Series: Completing the Risk Assessment Questionnaire (Session B: In-person)

    May 03, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Series: Completing the Risk Assessment Questionnaire (Session B: In-person)

    This seminar will assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

    Date: May 03, 2018
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details: Description:

    This seminar will assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

    Who should attend:

    Individuals who will be involved in the completion of the RAQ for their registrant firm.

    Benefits:

    Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.


    Documents
  • OSC in the Community (Markham)

    May 03, 2018 @ 11:15 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to members of the Middlefield Seniors Wellness Club about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

    Date: May 03, 2018
    Time: 11:15 AM - 12:30 PM
    Location: Aanin Community Centre, 5665 14th Avenue, Markham
    Event Details:

    OSC staff will be speaking to members of the Middlefield Seniors Wellness Club about the warning signs of fraud, what questions to ask before investing and where to find unbiased financial information.

  • Amy Tsai speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    May 03, 2018 @ 9:00 AM -

    Speech

    Amy Tsai speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    Amy Tsai speaking at the Strategy Institute Registrant Regulation, Conduct and Compliance Conference

    Date: May 03, 2018
    Time: 9:00 AM -
    Location: Sheraton Centre, Toronto, ON
    Event Details:

    PANEL DISCUSSION & Q&A: PROVINCIAL REGULATORS

    Increase your Understanding of Regulatory Requirements to Build an Effective Compliance Program Back by popular demand, senior and experienced representatives from four of Canada’s regulators discuss their policy objectives and regulatory expectations in depth. Post your questions in advance to clarify staff notices, ask what will be coming in the near future, and enhance your compliance strategies. Source practical tips to:

    • Find out how you are expected to comply with new regulations and expectations
    • Determine what will be coming new for 2018, and the timeline for new requirements
    • Align your compliance strategy to meet regulators’ objectives
    • Clarify the expectations of provincial regulators to improve your compliance.
    - Marc-Olivier St-Jacques, Senior Policy Advisor, Autorité des marchés financiers
    - Zach Masum, Manager, Legal Services, BCSC
    - Jason Alcorn, Senior Legal Counsel, New Brunswick's Financial and Consumer Services Commission
    - Amy Tsai, Senior Regulatory Adviser, OSC
    - Mark Franko, Manager, Legal, Market Regulation, ASC

    Learn more

     

  • OSC in the Community (Collingwood)

    May 02, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Collingwood)

    OSC staff will be speaking to members of the Probus Club of Collingwood about fraud prevention, what questions to ask before you invest and where to find unbiased financial information.

    Date: May 02, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Bear Estate, 300 Balsam Street, Collingwood
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Collingwood about fraud prevention, what questions to ask before you invest and where to find unbiased financial information.

  • Registrant Series: Completing the Risk Assessment Questionnaire (Session A: Webinar)

    May 01, 2018 @ -

    Registrant Outreach Seminars

    This seminar will assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

    Date: May 01, 2018
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details: Description:

    This seminar will assist registrants in completing the 2018 Risk Assessment Questionnaire (RAQ). The RAQ is a useful tool in identifying high risk areas of a registrant’s business and assisting CRR staff in executing its risk-based approach to compliance field reviews. The seminar will highlight the key changes in the 2018 RAQ, touch on frequently asked questions and walk participants through areas of the RAQ which have been challenging for registrants in the past.

    Who should attend:

    Individuals who will be involved in the completion of the RAQ for their registrant firm.

    Benefits:

    Understand the purpose of the RAQ, staff’s expectations for completing the RAQ and make the completion process more effective and efficient for your firm.



    Register
  • OSC in the Community (Barrie)

    May 01, 2018 @ 10:20 AM - 11:20 AM

    OSC in the Community

    OSC in the Community (Barrie)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 9 meeting about fraud prevention and the client-advisor relationship.

    Date: May 01, 2018
    Time: 10:20 AM - 11:20 AM
    Location: Barrie Country Club, 635 St. Vincent St. N., Barrie
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 9 meeting about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Toronto)

    April 30, 2018 @ 9:00 AM - 5:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    April 30 & May 1, 2018

    OSC will be at the 13th Annual Knowledge Exchange, Transitions: Aging Across the Life Conference. Drop by our exhibit booth or attend the Financial Wellness in Retirement: The Importance of Financial Literacy workshop to speak to OSC staff.

    Date: April 30, 2018
    Time: 9:00 AM - 5:45 PM
    Location: George Vari Engineering & Computing Centre, Ryerson University, 245 Church Street, Toronto
    Event Details:

    OSC will be at the 13th Annual Knowledge Exchange, Transitions: Aging Across the Life Conference. Drop by our exhibit booth or attend the Financial Wellness in Retirement: The Importance of Financial Literacy workshop to speak to OSC staff.

  • André J. Moniz, Senior Investigation Counsel - Office of the Whistleblower, speaking at The Summit for Asset Management

    April 26, 2018 @ 5:15 PM - 5:35 PM

    Speech

    André J. Moniz, Senior Investigation Counsel - Office of the Whistleblower, speaking at The Summit for Asset Management

    Now more than ever, the potential cost of compliance is so high, that it pays to get ahead of misconduct. Just over a year into the program, the OSC presents their whistleblowing initiative and how buy-side institutions can work closely with regulators to reduce costs and reputational risk of misconduct.

    Date: April 26, 2018
    Time: 5:15 PM - 5:35 PM
    Location: Insights From The Regulator – It Pays To Get Ahead of Misconduct
    Event Details:

    Now more than ever, the potential cost of compliance is so high, that it pays to get ahead of misconduct. Just over a year into the program, the OSC presents their whistleblowing initiative and how buy-side institutions can work closely with regulators to reduce costs and reputational risk of misconduct.

    Insights & Takeaways: This session will focus on themes like: Similarities and differences between the OSC initiative and that of the SEC; the anonymous and confidential process in place for whistle-blowers for misconduct; how firms can work with the regulator with No Contest Settlements and Credit for Cooperation; the OSC’s use of data analytics to identify misconduct.

    To learn more

  • André J. Moniz, Senior Investigation Counsel - Office of the Whistleblower, speaking at Federation of Mutual Fund Dealers

    April 24, 2018 @ 11:15 AM - 12:00 PM

    Speech

    André J. Moniz, Senior Investigation Counsel - Office of the Whistleblower, speaking at Federation of Mutual Fund Dealers

    Do you have inside knowledge of, or suspect, a possible violation of Ontario securities law that could harm investors? Do you have knowledge or evidence of potential unethical or illegal activity or contraventions by MFDA Members or Approved Persons of MFDA By-laws, Rules, Policies or Canadian securities requirements? What are the differences? What should you do? What happens next?

    Date: April 24, 2018
    Time: 11:15 AM - 12:00 PM
    Location: Inside the OSC’s & MFDA’s Whistleblower Programs
    Event Details:

    Do you have inside knowledge of, or suspect, a possible violation of Ontario securities law that could harm investors? Do you have knowledge or evidence of potential unethical or illegal activity or contraventions by MFDA Members or Approved Persons of MFDA By-laws, Rules, Policies or Canadian securities requirements? What are the differences? What should you do? What happens next?

    Learn more

  • OSC in the Community (Ottawa)

    April 24, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 6 meeting about fraud prevention and the client-advisor relationship.

    Date: April 24, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Tudor Hall, 3750 N. Bowesville Road, Ottawa
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 6 meeting about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Markham)

    April 19, 2018 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking to LINC students about money management, fraud prevention and where to find unbiased financial information.

    Date: April 19, 2018
    Time: 10:00 AM - 11:30 AM
    Location: York Centre, 3636 Steeles Avenue East, Markham
    Event Details:

    OSC staff will be speaking to LINC students about money management, fraud prevention and where to find unbiased financial information.

  • OSC in the Community (Ajax)

    April 17, 2018

    OSC in the Community

    OSC in the Community (Ajax)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 4 meeting about fraud prevention and the client-advisor relationship.

    Date: April 17, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Ajax Convention Centre, 550 Beck Road, Ajax
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario zone 4 meeting about fraud prevention and the client-advisor relationship.

  • Jeff Kehoe to speak at 2018 PCMA PRIVATE CAPITAL MARKETS CONFERENCE

    April 12, 2018 @ 10:55 AM - 11:40 AM

    Speech

    Jeff Kehoe to speak at 2018 PCMA PRIVATE CAPITAL MARKETS CONFERENCE

    ONE ON ONE with The Regulators: How to build a better Private Capital Market, Registrant update

    Date: April 12, 2018
    Time: 10:55 AM - 11:40 AM
    Location: Arcadian Court, 401 Bay Street Simpson Tower, 8th Floor Toronto, Ontario M5H 2Y4
    Event Details:

    ONE ON ONE with The Regulators: How to build a better Private Capital Market,
    Registrant update

    Moderator: John Fabello, Partner, Torys LLP

    Regulators Roundtable
    • Introduction by:
    • Julie Clarke, Senior Counsel, Mandeville, Group of Companies
    • John Hinze, Director of Corporate Finance, British Columbia Securities Commission
    • Jeff Kehoe, Enforcement Director, Ontario Securities Commission
    • Lynn Tsutsumi, Director Market Regulation, Alberta Securities Commission

    Learn more

  • David Surat to speak at 2018 PCMA PRIVATE CAPITAL MARKETS CONFERENCE

    April 12, 2018 @ 4:30 PM - 5:10 PM

    Speech

    David Surat to speak at 2018 PCMA PRIVATE CAPITAL MARKETS CONFERENCE

    Update on Offering Memorandum

    Date: April 12, 2018
    Time: 4:30 PM - 5:10 PM
    Location: Arcadian Court, 401 Bay Street Simpson Tower, 8th Floor Toronto, Ontario M5H 2Y4
    Event Details:

    Update on Offering Memorandum

    • Moderator: Brian Koscak, President, Chief Compliance Officer and General Counsel, Pinnacle Wealth Brokers
    • Peter Dunne, Partner, Miller Thomson LLP
    • David Surat, Senior Legal Counsel, Ontario Securities Commission
    • Lynn Tsutsumi, Director Market Regulation, Alberta Securities Commission

    Learn more
  • OSC in the Community (London)

    April 10, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario Zone 2 meeting about fraud prevention and the client-advisor relationship.

    Date: April 10, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Four Point Sheraton Hotel, 1150 Wellington Rd. S., London
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario Zone 2 meeting about fraud prevention and the client-advisor relationship.

  • OSC Office of the Whistleblower Investigation Counsel, Ashok Menen to speak at the National Corporate Ethics and Integrity Summit

    April 10, 2018 @ 2:00 PM -

    Speech

    OSC Office of the Whistleblower Investigation Counsel, Ashok Menen to speak at the National Corporate Ethics and Integrity Summit

    Concurrent Session C2
    Speak Up! The Evolving Landscape for Whistleblowing in Canada

    The creation of the OSC's Office of the Whistleblower changed the landscape for whistleblowing in Canada. In this session, you will hear observations and reflections on this new office and engage in a discussion on key aspects shaping the practice of whistleblowing in Canada. Whistleblowers are a crucial part of ethics and compliance program, but this area is highly complicated for organizations and for whistleblowers as well. Panellists will engage in a discussion of key dimensions needed to support a speak up culture within organizations.

    Date: April 10, 2018
    Time: 2:00 PM -
    Location: Beanfield Centre, 105 Princes' Blvd., Toronto Ontario M6K 3C3
    Event Details:

    Concurrent Session C2
    Speak Up! The Evolving Landscape for Whistleblowing in Canada

    The creation of the OSC's Office of the Whistleblower changed the landscape for whistleblowing in Canada. In this session, you will hear observations and reflections on this new office and engage in a discussion on key aspects shaping the practice of whistleblowing in Canada. Whistleblowers are a crucial part of ethics and compliance program, but this area is highly complicated for organizations and for whistleblowers as well. Panellists will engage in a discussion of key dimensions needed to support a speak up culture within organizations.

    Moderator:

    • Patrice Poitevin Co-Founder and Senior Advisor, Strategic and International Development Canadian Centre of Excellence for Anti-Corruption (CCEAC)

     

    Panellists:

    • Ashok  Menen , Investigation Counsel, Ontario Securities Commission
    • Kelly Donovan, Owner, Fit4Duty

     

    Learn more

  • OSC in the Community (Bracebridge)

    April 04, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Bracebridge)

    OSC staff will be speaking to members of the Bracebridge Probus Club about fraud prevention and the client-advisor relationship.

    Date: April 04, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Rotary Club, 131 Wellington Street, Bracebridge
    Event Details:

    OSC staff will be speaking to members of the Bracebridge Probus Club about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Toronto)

    April 03, 2018 @ 10:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC will be participating in the City of Toronto’s Caregivers Day event. Come and learn about the various resources and services that are available to support care givers.

    Date: April 03, 2018
    Time: 10:00 AM - 12:30 PM
    Location: City Hall, Toronto
    Event Details:

    OSC will be participating in the City of Toronto’s Caregivers Day event. Come and learn about the various resources and services that are available to support care givers.

  • Women in Commercial Litigation: Bringing Men into the Conversation

    April 03, 2018 @ 8:00 AM - 9:30 AM

    Other

    Women in Commercial Litigation: Bringing Men into the Conversation

    Join the Commercial Litigation Practice Group for this annual breakfast program. We welcome all commercial litigators to take this opportunity to hear the perspectives of our panelists as they discuss how men can be part of the conversation on women in commercial litigation.

    Date: April 03, 2018
    Time: 8:00 AM - 9:30 AM
    Location: The Advocates’ Society - 2700 - 250 Yonge Street, Toronto
    Event Details:

    Join the Commercial Litigation Practice Group for this annual breakfast program. We welcome all commercial litigators to take this opportunity to hear the perspectives of our panelists as they discuss how men can be part of the conversation on women in commercial litigation.

    Panelists:
    The Honourable Fred Myers, Ontario Superior Court of JusticeM
    Bindu Dhaliwal, BMO Bank of Montreal
    Tim Moseley, Vice Chair, Ontario Securities Commission
    Linda M. Plumpton, Torys LLP


    Moderators:
    Robert B. Macdonald, Fogler, Rubinoff LLP
    Shara Roy, Lenczner Slaght LLP

    Learn more

  • Ashok Menen, Investigation Counsel - Office of the Whistleblower, speaking at CPA Ontario's Conference for Controllers

    March 29, 2018 @ 1:50 PM - 2:45 PM

    Speech

    Ashok Menen, Investigation Counsel - Office of the Whistleblower, speaking at CPA Ontario's Conference for Controllers

    CPA Ontario’s Conference for Controllers is a two-day learning opportunity designed for aspiring and current controllers. This year’s robust program will provide delegates the opportunity to network, share ideas and gain an update on the newest information, requirements, emerging procedures and applications of controllership

    Date: March 29, 2018
    Time: 1:50 PM - 2:45 PM
    Location: The International Centre, Mississauga
    Event Details:

    CPA Ontario’s Conference for Controllers is a two-day learning opportunity designed for aspiring and current controllers. This year’s robust program will provide delegates the opportunity to network, share ideas and gain an update on the newest information, requirements, emerging procedures and applications of controllership

    More information

  • OSC in the Community (Cambridge)

    March 28, 2018 @ 9:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Cambridge)

    OSC staff will be speaking to members of the Probus Club of Cambridge about fraud prevention and the client-advisor relationship.

    Date: March 28, 2018
    Time: 9:30 AM - 11:30 AM
    Location: Armenian Youth Club, 35 International Village Drive, Cambridge
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Cambridge about fraud prevention and the client-advisor relationship.

  • OSC in the Community (Toronto)

    March 22, 2018 @ 1:15 PM - 2:15 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of Sprint Senior Care about investment fraud prevention and what questions to ask before they invest.

    Date: March 22, 2018
    Time: 1:15 PM - 2:15 PM
    Location: Timothy Eaton Memorial Church, 230 St. Clair Ave. W.
    Event Details:

    OSC staff will be speaking to members of Sprint Senior Care about investment fraud prevention and what questions to ask before they invest.

  • OSC in the Community (London)

    March 21, 2018 @ 11:30 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking to new Canadians about the OSC, money management, fraud prevention, what questions to ask before investing and where to find unbiased financial information.

    Date: March 21, 2018
    Time: 11:30 AM - 12:30 PM
    Location: YMCA Western Ontario, 165 Elmwood Avenue East, London
    Event Details:

    OSC staff will be speaking to new Canadians about the OSC, money management, fraud prevention, what questions to ask before investing and where to find unbiased financial information.

  • OSC in the Community (Toronto)

    March 20, 2018 @ 9:30 AM - 3:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be exhibiting and speaking at the 50+ Active Living and Information Fair. Drop by the OSC’s table to speak with staff and/or attend one of our presentations to learn how protect yourself from investment fraud and make more informed financial decisions.

    Date: March 20, 2018
    Time: 9:30 AM - 3:30 PM
    Location: Central Eglinton Community Centre, 160 Eglinton Avenue East, Toronto
    Event Details:

    OSC staff will be exhibiting and speaking at the 50+ Active Living and Information Fair. Drop by the OSC’s table to speak with staff and/or attend one of our presentations to learn how protect yourself from investment fraud and make more informed financial decisions.

  • Pat Chaukos, LaunchPad Deputy Director to participate in Delivering and Operationalising FinTech Bridges roundtable

    March 19, 2018 @ 2:35 PM - 3:35 PM

    Speech

    Pat Chaukos, LaunchPad Deputy Director to participate in Delivering and Operationalising FinTech Bridges roundtable

    Innovate Finance in partnership with the Department for International Trade will host a roundtable discussion to explore how businesses, key institutions, regulators and government can collectively operationalise FinTech Bridges in order to ensure maximum benefits for UK Fintech's seeking to scale and export. This is a closed, invite-only event. However, you can express your interest in attending by clicking below, the IFGS team will review your request and get back to you.

    Date: March 19, 2018
    Time: 2:35 PM - 3:35 PM
    Location: Chief Commoner's Parlour Guildhall, Gresham Street London, EC2V 7HH
    Event Details:

    Innovate Finance in partnership with the Department for International Trade will host a roundtable discussion to explore how businesses, key institutions, regulators and government can collectively operationalise FinTech Bridges in order to ensure maximum benefits for UK Fintech's seeking to scale and export. This is a closed, invite-only event. However, you can express your interest in attending by clicking below, the IFGS team will review your request and get back to you.

    This session will seek to clarify:

    • What are the FinTech Bridges?
    • How do these differ from other co-operation agreements, and how do both sets of agreements operate alongside each other?
    • What are the challenges firms are facing when seeking to export?
    • What do firms most need from FinTech Bridges?
    • What is the intention for the FinTech Bridges going forward?

    This discussion will provide attending businesses with a view as to how their plans to scale could be greatly enabled by government support for FinTech Bridges and what that support could look like. The roundtable will also provide all attendees – especially those policy makers and government representatives who will be present – insight into the challenges FinTech businesses face when seeking to export.

    Places are limited and you must be a Global Summit delegate in order to attend. Express your interest in attending by clicking here.

    Learn more: https://ifgs.innovatefinance.com/agenda-2018/

  • OSC in the Community (Teletownhall)

    March 14, 2018

    OSC in the Community

    OSC in the Community (Teletownhall)
    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour.

    Date: March 14, 2018
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhall
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. To participate by phone or online, please register by March 14, 2018, 12:00pm. https://osceventregistration.ca/tth20180314/registration

  • OSC in the Community (webinar)

    March 14, 2018 @ 9:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (webinar)

    OSC staff will provide newcomers with unbiased financial information to help them make more informed financial decisions as part of their pre-arrival program to Ontario.

    Date: March 14, 2018
    Time: 9:00 AM - 10:30 AM
    Location: Webinar
    Event Details:

    OSC staff will provide newcomers with unbiased financial information to help them make more informed financial decisions as part of their pre-arrival program to Ontario.

  • OSC in the Community (Collingwood)

    March 08, 2018 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Collingwood)

    OSC staff will be speaking to members of the Probus Mountainview Club to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: March 08, 2018
    Time: 11:00 AM - 12:00 PM
    Location: Georgian Bay Hotel, 10 Vacation Dr., Collingwood
    Event Details:

    OSC staff will be speaking to members of the Probus Mountainview Club to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • OSC in the Community (Cambridge)

    March 05, 2018 @ 9:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Cambridge)

    OSC staff will be speaking to members of the Fairview Seniors Community about fraud prevention and how to make more informed financial decisions.

    Date: March 05, 2018
    Time: 9:30 AM - 11:30 AM
    Location: 515 Langs Drive, Cambridge
    Event Details:

    OSC staff will be speaking to members of the Fairview Seniors Community about fraud prevention and how to make more informed financial decisions.

  • Amy Tsai Speaking at FFCON18: VELOCITY on March 5

    March 05, 2018 @ 3:45 PM - 4:30 PM

    Speech

    Amy Tsai Speaking at FFCON18: VELOCITY on March 5

    FFCON18 features 5 different streams of content, immersive learning and prime networking over two days, including 50+ speakers, 12+ pitching companies, firm demos, workshops, VIP 1x1 meetings, ’ask an expert’, cocktail receptions and launch Toronto edition CryptoMonday!

    CSA, COMPETITION BUREAU, VENTURE LAW CORP Networking Sandbox: Opportunity to directly network with CSA Regulators

    Date: March 05, 2018
    Time: 3:45 PM - 4:30 PM
    Location: Trading Floor Main Stage 234 Bay St, Toronto, ON M5K 1B2
    Event Details:

    FFCON18 features 5 different streams of content, immersive learning and prime networking over two days, including 50+ speakers, 12+ pitching companies, firm demos, workshops, VIP 1x1 meetings, ’ask an expert’, cocktail receptions and launch Toronto edition CryptoMonday!

    CSA, COMPETITION BUREAU, VENTURE LAW CORP Networking Sandbox: Opportunity to directly network with CSA Regulators

    Learn More

  • Amy Tsai Speaking at FFCON18: VELOCITY on March 5

    March 05, 2018 @ 2:45 PM - 3:30 PM

    Speech

    Amy Tsai Speaking at FFCON18: VELOCITY on March 5

    FFCON18 features 5 different streams of content, immersive learning and prime networking over two days, including 50+ speakers, 12+ pitching companies, firm demos, workshops, VIP 1x1 meetings, ’ask an expert’, cocktail receptions and launch Toronto edition CryptoMonday

    GOWLING WLG, BCSC, ASC, OSC, AMF: CSA Regulatory Updates on Fintech, Blockchain and Crypto

    Canadian regulators from BCSC, ASC, OSC and AMF discuss the latest updates and news from the CSA sandbox program, emerging regulations, and initiatives.

    Date: March 05, 2018
    Time: 2:45 PM - 3:30 PM
    Location: Trading Floor Main Stage 234 Bay St, Toronto, ON M5K 1B2
    Event Details:

    FFCON18 features 5 different streams of content, immersive learning and prime networking over two days, including 50+ speakers, 12+ pitching companies, firm demos, workshops, VIP 1x1 meetings, ’ask an expert’, cocktail receptions and launch Toronto edition CryptoMonday

    GOWLING WLG, BCSC, ASC, OSC, AMF: CSA Regulatory Updates on Fintech, Blockchain and Crypto

    Canadian regulators from BCSC, ASC, OSC and AMF discuss the latest updates and news from the CSA sandbox program, emerging regulations, and initiatives.

    Learn more

  • Women in Payments

    February 28, 2018

    Speech

    Women in Payments

    Cryptocurrency, ICO (Initial Coin Offering) and blockchain were undoubtedly three of the biggest buzz words of 2017, and are expected to remain so in 2018. With over 2,000 cryptocurrencies currently in circulation globally, ICOs similarly on the rise, and blockchain technology underlying many of these —how exactly do these rapidly growing initiatives fit together?

    Date: February 28, 2018
    Time: 5:30 PM - 7:30 PM
    Location: Dentons Canada LLP 77 King St. W., 5th floor Toronto, M5K 0A1
    Event Details:

    Cryptocurrency, ICO (Initial Coin Offering) and blockchain were undoubtedly three of the biggest buzz words of 2017, and are expected to remain so in 2018. With over 2,000 cryptocurrencies currently in circulation globally, ICOs similarly on the rise, and blockchain technology underlying many of these —how exactly do these rapidly growing initiatives fit together? In partnership with Dentons Canada LLP, we’re hosting a panel of leading industry experts to examine this trio of assets, the regulation needed to support widespread adoption, and the potential impacts to financial services. Join us to equip yourself with a relevant understanding of what is poised to be a transformational year for the continued crypto craze.

    Not For Women Only!


    Moderator

    • Tracy Molino, Counsel, Dentons

    Panelists
    • Pat Chaukos, Deputy Director, OSC LaunchPad, Policy at Ontario Securities Commission
    • Cloudesley J. C. R. Hobbs, B.F.A., J.D. Blockchain lawyer, General Counsel, C.L.O. Dominion Bitcoin Mining Company Ltd.
    • Fred Pye, President & CEO, 3iQ Corp
    • Tracy Molino, Counsel, Dentons

    To learn more: https://www.womeninpayments.org/ca/wipevents/cryptocurrencies-icos-and-how-they-all-fit-together/

  • OSC in the Community (Mississauga)

    February 26, 2018 @ 2:00 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to members of the Applewood Landmark Investment Club to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: February 26, 2018
    Time: 2:00 PM - 3:30 PM
    Location: 1300 Bloor St. W. Mississauga
    Event Details:

    OSC staff will be speaking to members of the Applewood Landmark Investment Club to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • OSC in the Community (Toronto)

    February 22, 2018 @ 11:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to members of the Better Living Health & Community Centre Services Centre about fraud prevention and how to make more informed financial decisions.

    Date: February 22, 2018
    Time: 11:00 AM - 12:30 PM
    Location: Better Living Health & Community Services, 1 Overland Drive, Toronto
    Event Details:

    OSC staff will be speaking to members of the Better Living Health & Community Centre Services Centre about fraud prevention and how to make more informed financial decisions.

  • Procedural Matters and Preparing for Annual Filings

    February 22, 2018 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Procedural Matters and Preparing for Annual Filings

    This seminar will review common administrative and procedural filing issues and errors made by reporting issuers.  OSC staff will discuss how to avoid certain common errors in the context of prospectus, application...

    Date: February 22, 2018
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review common administrative and procedural filing issues and errors made by reporting issuers.  OSC staff will discuss how to avoid certain common errors in the context of prospectus, application, continuous disclosure and exempt market filings.

    Who should attend:

    • Law clerks and filing agents of reporting issuers
    • General counsel of reporting issuers
    • Junior legal counsel and other advisors

    Why You Should Attend:

    • To understand securities regulatory timing and filing procedures
    • To be aware of common administrative errors so you can avoid them
    • To hear directly from OSC staff on best practices for engaging with staff on procedural and administrative issues

  • OSC in the Community (Port Perry)

    February 20, 2018 @ 11:00 AM - 12:30 AM

    OSC in the Community

    OSC in the Community (Port Perry)

    OSC staff will be speaking to members of the Port Perry Probus Club about fraud prevention and the client-advisor relationship.

    Date: February 20, 2018
    Time: 11:00 AM - 12:30 AM
    Location: Hope Church, 14480 Old Simcoe Street North, Port Perry
    Event Details:

    OSC staff will be speaking to members of the Port Perry Probus Club about fraud prevention and the client-advisor relationship.

  • Registrant Outreach: Cyber Security (Session B: In-Person)

    February 15, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Cyber Security  (Session B: In-Person)

    This seminar will focus on cyber security matters.

    Date: February 15, 2018
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room, Ontario Securities Commission, 20 Queen Street West, Toronto, ON
    Event Details:

    This seminar will focus on cyber security matters. The topics that will be discussed include:

    • An overview of the common types of cyber threats and the risks associated with these threats.
    • Practical solutions to protect your business from cyber threats.
    • Results from a survey (conducted by the CSA) of cyber security practices of registered firms.


    Who should attend:

    Ultimate designated persons, chief compliance officers, and information technology staff of registered firms.


    Benefits:

    • Enhance understanding of cyber security threats.
    • Obtain practical solutions on how to counter cyber risk and protect your business from these threats.

    Documents
  • OSC in the Community (Oshawa)

    February 13, 2018 @ 10:45 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to the Oshawa Probus Club members about fraud prevention and the client-advisor relationship.

    Date: February 13, 2018
    Time: 10:45 AM - 12:00 PM
    Location: Oshawa Shrine Club, 1626 Simcoe Street North, Oshawa
    Event Details:

    OSC staff will be speaking to the Oshawa Probus Club members about fraud prevention and the client-advisor relationship.

  • Registrant Outreach: Cyber Security (Session A: Webinar)

    February 13, 2018 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Outreach: Cyber Security  (Session A: Webinar)

    This seminar will focus on cyber security matters.

    Date: February 13, 2018
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details:

    This seminar will focus on cyber security matters. The topics that will be discussed include:

    • An overview of the common types of cyber threats and the risks associated with these threats.
    • Practical solutions to protect your business from cyber threats.
    • Results from a survey (conducted by the CSA) of cyber security practices of registered firms.


    Who should attend:

    Ultimate designated persons, chief compliance officers, and information technology staff of registered firms.


    Benefits:

    • Enhance understanding of cyber security threats.
    • Obtain practical solutions on how to counter cyber risk and protect your business from these threats.


    Documents

  • OSC in the Community (Etobicoke)

    January 31, 2018 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC will be speaking to new Canadians about money management and how to protect themselves from investment fraud.

    Date: January 31, 2018
    Time: 10:30 AM - 11:30 AM
    Location: Lamp Community Health Centre, 2275 Lakeshore Blvd. W., Toronto (Etobicoke)
    Event Details:

    OSC will be speaking to new Canadians about money management and how to protect themselves from investment fraud.

  • OSC LaunchPad Information Day #5 - Lawyers Session

    January 26, 2018 @ 2:00 PM - 3:00 PM

    Other

    OSC LaunchPad Information Day #5 - Lawyers Session
    The OSC LaunchPad team is opening its doors to lawyers who practice in the fintech space.

    Date: January 26, 2018
    Time: 2:00 PM - 3:00 PM
    Location: Ontario Securities Commission 17th Floor, Cadillac Building 20 Queen St. W. Toronto, ON M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to lawyers who practice in the fintech space.

    We welcome members of the legal community to come in, have a coffee, and chat about developments that may affect their practices, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the legal community, ONLY 1 registrant per firm will be invited to attend this session. We will confirm attendance via confirmation email by January 19, 2018.

    Register

  • Current Trends in Prospectus Filings

    January 25, 2018 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Current Trends in Prospectus Filings

    This seminar will review common issues and errors that arise in the context of prospectus filings under National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) and National Instrument 44-102 Shelf Distributions (NI 44-102). OSC staff will discuss hot topics including primary business, going concern and sufficiency of proceeds, disclosure and procedural issues.

    Date: January 25, 2018
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review common issues and errors that arise in the context of prospectus filings under National Instrument 41-101 General Prospectus Requirements (NI 41-101), National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) and National Instrument 44-102 Shelf Distributions (NI 44-102).  OSC staff will discuss hot topics including primary business, going concern and sufficiency of proceeds, disclosure and procedural issues.

    Who should attend:

    • General counsel of reporting issuers
    • CEOs and CFOs
    • Directors
    • Legal counsel and other advisors

    Why You Should Attend:

    • To learn more about the requirements of NI 41-101, NI 44-101 and NI 44-102 when filing a prospectus
    • To understand certain specific disclosure requirements and common disclosure errors
    • To hear directly from OSC staff on best practices for engaging with staff on pre-filing novel issues
    • Individuals and advisors of private companies considering going public may wish to attend to learn about disclosure requirements for an initial public offering prospectus

  • Date: January 24, 2018
    Time: 3:30 PM -
    Location: Sheraton Ottawa Hotel, 150 Albert Street, Ottawa, ON, K1P 5G2
    Event Details:

    One Year Review of the Ontario Whistleblower Policy

    OSC Office of the Whistleblower Investigation Counsel, Ashok Menen, will provide an overview of the Whistleblower Program and experiences since the Program’s launch.

    Learn more

  • OSC LaunchPad Information Day #4

    January 19, 2018 @ 10:00 AM - 11:00 AM

    Other

    OSC LaunchPad Information Day #4

    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    Date: January 19, 2018
    Time: 10:00 AM - 11:00 AM
    Location: Ontario Securities Commission 17th Floor, Cadillac Building 20 Queen St. W. Toronto, ON M5H 3S8
    Event Details:


    The OSC LaunchPad team is opening its doors to the public to answer questions related to fintech.

    We welcome members of the community to come in, have a coffee, and chat about developments that may affect their business, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served. Please note that due to space constraints, and efforts to ensure representation from across the community, ONLY 1 registrant per firm will be invited to attend this session. We will confirm attendance via confirmation email by January 12, 2018.

    Register

  • OSC in the Community (Toronto)

    January 19, 2018 @ 2:30 PM - 3:15 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to a seniors group at Sprint Senior Care about fraud prevention and how to make more informed financial decisions.

    Date: January 19, 2018
    Time: 2:30 PM - 3:15 PM
    Location: 140 Merton Street, 2nd Floor, Toronto
    Event Details:

    OSC staff will be speaking to a seniors group at Sprint Senior Care about fraud prevention and how to make more informed financial decisions.

     

  • OSC in the Community (Brampton)

    January 17, 2018 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to members of CARP Brampton Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: January 17, 2018
    Time: 7:00 PM - 8:30 PM
    Location: Greenway Retirement Home, 100 Ken Whillans Dr., Brampton
    Event Details:

    OSC staff will be speaking to members of CARP Brampton Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Etobicoke)

    January 09, 2018 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to Probus Etobicoke Investment Club members about investment fraud prevention, client-advisor relationships and where to find unbiased financial information.

    Date: January 09, 2018
    Time: 1:30 PM - 2:30 PM
    Location: 80 Lothian Avenue, Toronto (Etobicoke)
    Event Details:

    OSC staff will be speaking to Probus Etobicoke Investment Club members about investment fraud prevention, client-advisor relationships and where to find unbiased financial information.

  • Hot Topics in Continuous Disclosure

    December 07, 2017 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Hot Topics in Continuous Disclosure

    This seminar will review new issues and discuss errors commonly seen by staff as reporting issuers prepare their annual continuous disclosure filings pursuant to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102). The seminar will look at relevant topics in continuous disclosure...

    Date: December 07, 2017
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review new issues and discuss errors commonly seen by staff as reporting issuers prepare their annual continuous disclosure filings pursuant to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102). The seminar will look at relevant topics in continuous disclosure, including the use of social media, forward looking information, non-GAAP financial measures, balanced disclosures, and will also highlight upcoming trends. OSC staff will also provide an overview of the required filings, deadlines and references to help reporting issuers prepare materials.

    Who should attend:

    • CFOs
    • Preparers of financial statements and MD&A
    • In-house or external legal counsel
    • Advisors to companies

    Why You Should Attend:

    • To understand important ongoing securities requirements in order to prepare quality continuous disclosure documentation
    • To keep abreast of new topics
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff on best practices for working with the OSC on continuous disclosure issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation Documents

  • OSC in the Community (Mississauga)

    December 07, 2017 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to Sahara Senior Services members about fraud prevention, working with an advisor and how to make more informed financial decisions.

    Date: December 07, 2017
    Time: 1:30 PM - 3:00 PM
    Location: Meadowvale Community Centre, 6655 Glen Erin Drive, Mississauga
    Event Details:

    OSC staff will be speaking to Sahara Senior Services members about fraud prevention, working with an advisor and how to make more informed financial decisions.

  • OSC in the Community (Oshawa)

    December 06, 2017 @ 1:45 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to members of the Telecom Pioneer Club about fraud prevention, working with an advisor and how to make more informed financial decisions.

    Date: December 06, 2017
    Time: 1:45 PM - 3:00 PM
    Location: Unifor Meeting Hall, 1425 Murray Avenue, Oshawa
    Event Details:

    OSC staff will be speaking to members of the Telecom Pioneer Club about fraud prevention, working with an advisor and how to make more informed financial decisions.

  • OSC in the Community (Toronto)

    November 30, 2017 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Toronto)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed financial decisions.

    Date: November 30, 2017
    Time: 10:00 AM - 11:30 AM
    Location: West Toronto Church of God, 1655 Wilson Avenue West, Toronto
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed financial decisions.

  • OSC in the Community (Whitby)

    November 30, 2017 @ 6:00 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Whitby)

    OSC staff will be speaking to newcomers to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: November 30, 2017
    Time: 6:00 PM - 8:00 PM
    Location: Whitby Public Library, 405 Dundas Street West, Whitby
    Event Details:

    OSC staff will be speaking to newcomers to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • OSC in the Community (Pickering)

    November 28, 2017 @ 6:30 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Pickering)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed financial decisions.

    Date: November 28, 2017
    Time: 6:30 PM - 8:00 PM
    Location: Central Library, One the Esplanade, Pickering
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, working with an advisor and how to make more informed financial decisions.

  • OSC in the Community (Markham)

    November 23, 2017 @ 9:00 AM - 1:00 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC will be participating in a Financial Education Forum to educate new Canadians about investment fraud, and what questions to ask before you invest.

    Date: November 23, 2017
    Time: 9:00 AM - 1:00 AM
    Location: Welcome Centre Markham North, 8400 Woodbine Ave #102, Markham
    Event Details:

    OSC will be participating in a Financial Education Forum to educate new Canadians about investment fraud, and what questions to ask before you invest.

  • OSC in the Community (Teletownhall)

    November 23, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA) and the Ombudsman for Banking Services and Investments (OBSI). Similar in format to a call-in radio show...

    Date: November 23, 2017
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhall
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC), the Mutual Fund Dealers Association of Canada (MFDA) and the Ombudsman for Banking Services and Investments (OBSI). Similar in format to a call-in radio show, during the teletownhall OSC staff and guests provide information, answer questions and conduct live polls over the course of one hour. If you would like to be called on Thursday, November 23 at 6:30 to participate in the upcoming teletownhall, please register online by noon, November 23.

  • Registrant Series: Exempt Market Dealers (Session B: In-Person)

    November 23, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Series: Exempt Market Dealers (Session B: In-Person)
    This seminar will focus on key topics for exempt market dealers (EMDs).

    Date: November 23, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room, Ontario Securities Commission, 20 Queen Street West, Toronto, ON
    Event Details:

    This seminar will focus on key topics for exempt market dealers (EMDs)
    The topics that will be discussed include:

    • Recent EMD amendments to NI 31-103 and 31-103CP that come into force December 4, 2017.
    • Guidance related to the use of expanded exempt market prospectus exemptions, including the new family, friends and business associates exemption and offering memorandum exemption.
    • Findings from compliance reviews of EMDs and dealer related topics from our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748).


    Who should Attend:

    Dealing representatives, ultimate designated persons, chief compliance officers, and legal counsel of EMDs.

    Benefits:

    • Enhance understanding of recent EMD amendments and use of expanded exempt market prospectus exemptions.
    • Gain awareness of key deficiencies identified during compliance reviews as well as EMD issues and projects that the Compliance and Registrant Regulation branch focused on during the year.

    Documents
  • OSC in the Community (Toronto)

    November 22, 2017 @ 6:00 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be participating in a Protecting Your Money panel for new Canadians to help them protect themselves from investment fraud.

    Date: November 22, 2017
    Time: 6:00 PM - 8:00 PM
    Location: Woodgreen Newcomer Services, 815 Danforth Avenue, 3rd Floor, Toronto
    Event Details:

    OSC staff will be participating in a Protecting Your Money panel for new Canadians to help them protect themselves from investment fraud.

  • Registrant Series: Exempt Market Dealers (Session A: Webinar)

    November 21, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant Series: Exempt Market Dealers (Session A: Webinar)

    This seminar will focus on key topics for exempt market dealers (EMDs) .

    Date: November 21, 2017
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details:

    This seminar will focus on key topics for exempt market dealers (EMDs)
    The topics that will be discussed include:

    • Recent EMD amendments to NI 31-103 and 31-103CP that come into force December 4, 2017.
    • Guidance related to the use of expanded exempt market prospectus exemptions, including the new family, friends and business associates exemption and offering memorandum exemption.
    • Findings from compliance reviews of EMDs and dealer related topics from our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748).


    Who should Attend:

    Dealing representatives, ultimate designated persons, chief compliance officers, and legal counsel of EMDs.

    Benefits:

    • Enhance understanding of recent EMD amendments and use of expanded exempt market prospectus exemptions.
    • Gain awareness of key deficiencies identified during compliance reviews as well as EMD issues and projects that the Compliance and Registrant Regulation branch focused on during the year.

    Documents
  • OSC in the Community (Webinar)

    November 17, 2017 @ 9:00 AM - 10:00 AM

    OSC in the Community

    OSC in the Community (Webinar)

    OSC staff will provide newcomers with unbiased financial information to help them make informed financial decisions as part of their pre-arrival program to Ontario.

    Date: November 17, 2017
    Time: 9:00 AM - 10:00 AM
    Location: Webinar
    Event Details:

    OSC staff will provide newcomers with unbiased financial information to help them make informed financial decisions as part of their pre-arrival program to Ontario.

  • OSC in the Community (Peterborough)

    November 15, 2017 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Peterborough)

    OSC staff will be speaking to newcomers at the New Canadians Centre to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: November 15, 2017
    Time: 2:30 PM - 3:30 PM
    Location: New Canadians Centre, 221 Romaine Street, Peterboroug
    Event Details:

    OSC staff will be speaking to newcomers at the New Canadians Centre to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • OSC in the Community (Peterborough)

    November 15, 2017 @ 9:00 AM - 12:30 PM

    OSC in the Community

    OSC in the Community (Peterborough)

    Attend this event to hear speakers from the Ontario Securities Commission, CPA Canada, Elder Abuse Ontario and Peterborough Police Services discuss how you can protect your money and make more informed financial decisions in retirement.

    Date: November 15, 2017
    Time: 9:00 AM - 12:30 PM
    Location: McDonnel St. Activity Centre, 577 McDonnel St., Peterborough
    Event Details:

    Attend this event to hear speakers from the Ontario Securities Commission, CPA Canada, Elder Abuse Ontario and Peterborough Police Services discuss how you can protect your money and make more informed financial decisions in retirement.

  • OSC in the Community (Mississauga)

    November 13, 2017 @ 10:30 AM - 2:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    Ontario Securities Commission will be exhibiting at the OACAO Aging Well: Celebrate, Education, Motivate, Appreciate! Conference. Visit our booth to speak with OSC staff.

    Date: November 13, 2017
    Time: 10:30 AM - 2:30 PM
    Location: Hilton Meadowvale Hotel, 6750 Mississauga Rd, Mississauga
    Event Details:

    Ontario Securities Commission will be exhibiting at the OACAO Aging Well: Celebrate, Education, Motivate, Appreciate! Conference. Visit our booth to speak with OSC staff.

  • OSC LaunchPad Information Day for Lawyers

    November 10, 2017 @ 2:00 PM - 3:00 PM

    Other

    OSC LaunchPad Information Day for Lawyers

    The OSC LaunchPad team is opening its doors to lawyers who practice in the fintech space.

    We welcome members of the legal community to come in, have a coffee, and chat about developments that may affect their practices, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Date: November 10, 2017
    Time: 2:00 PM - 3:00 PM
    Location: Ontario Securities Commission, 17th Floor, Cadillac Building, 20 Queen St. W, Toronto ON, M5H 3S8
    Event Details:

    The OSC LaunchPad team is opening its doors to lawyers who practice in the fintech space.

    We welcome members of the legal community to come in, have a coffee, and chat about developments that may affect their practices, including the Canadian Securities Administrators’ Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Registration is free and is first come, first served.  Please note that due to space constraints, and efforts to ensure representation from across the legal community, ONLY 1 registrant per firm will be invited to attend this session. We will confirm attendance via confirmation email by November 8, 2017.

    Request to Register

  • OSC in the Community (Mississauga)

    November 09, 2017 @ 12:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to members of Bell Pensioners Group about investment fraud prevention and questions to ask before you invest.

    Date: November 09, 2017
    Time: 12:00 PM - 2:30 PM
    Location: Burnhamthorpe Community Centre, 1500 Gulleden Drive, Mississauga
    Event Details:

    OSC staff will be speaking to members of Bell Pensioners Group about investment fraud prevention and questions to ask before you invest.

  • OSC LaunchPad Information Days

    November 01, 2017 @ 2:00 PM - 3:00 PM

    Other

    OSC LaunchPad Information Days

    Once again, the OSC LaunchPad team is opening its doors to the fintech community.

    We welcome fintech businesses to come in, have a coffee, and chat about developments since launching the initiative, including the Canadian Securities Administrators Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Date: November 01, 2017
    Time: 2:00 PM - 3:00 PM
    Location: Ontario Securities Commission, 20th Floor, Cadillac Building 20 Queen St. W, Toronto ON, M5H 3S8
    Event Details:

    November 1, 2017 from 2:00 P.M to 3:00 P.M

    Once again, the OSC LaunchPad team is opening its doors to the fintech community.

    We welcome fintech businesses to come in, have a coffee, and chat about developments since launching the initiative, including the Canadian Securities Administrators Regulatory Sandbox and staff notice on cryptocurrency offerings.

    Register - November 1, 2017 from 2:00 P.M to 3:00 P.M

  • OSC in the Community (Mississauga)

    October 31, 2017 @ 12:45 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC will be speaking to members of Pak Pioneers Community Organization to help them lean how to recognize and protect themselves from investment fraud and know where to find unbiased financial information.

    Date: October 31, 2017
    Time: 12:45 PM - 1:30 PM
    Location: Burnhamthorpe Community Centre, 1500 Gulleden Drive, Mississauga
    Event Details:

    OSC will be speaking to members of Pak Pioneers Community Organization to help them lean how to recognize and protect themselves from investment fraud and know where to find unbiased financial information.

  • OSC in the Community (Oshawa)

    October 30, 2017 @ 12:00 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to members of Bell Pensioners Group about investment fraud prevention and questions to ask before you invest.

    Date: October 30, 2017
    Time: 12:00 PM - 2:30 PM
    Location: Unifor Meeting Hall, 1425 Philip Murray Avenue, Oshawa
    Event Details:

    OSC staff will be speaking to members of Bell Pensioners Group about investment fraud prevention and questions to ask before you invest.

  • Jeff Kehoe, Director of Enforcement delivering keynote at the 2017 ACFE Fraud Conference Canada

    October 30, 2017

    Speech

    Jeff Kehoe, Director of Enforcement delivering keynote at the 2017 ACFE Fraud Conference Canada

    Director of Enforcement, Jeff Kehoe, discusses how whistleblowing is changing the landscape of securities enforcement, following the one year anniversary of the launch of the OSC’s Whistleblower Program.

    Date: October 30, 2017
    Time: -
    Location: Toronto Marriott Downtown Eaton Centre, 525 Bay Street Toronto, ON M5G 2L2
    Event Details:

    Whistleblowers - Changing the Enforcement Landscape

    Director of Enforcement, Jeff Kehoe, discusses how whistleblowing is changing the landscape of securities enforcement, following the one year anniversary of the launch of the OSC’s Whistleblower Program.

    Learn more

  • OSC in the Community (Toronto)

    October 28, 2017 @ 10:00 AM - 5:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Oct. 28: 10:00am – 5:00pm; Oct. 29: 11:00am – 5:00pm

    Ontario Securities Commission will be exhibiting at the Zoomer show. Visit our booth for free resources and to speak with OSC staff.

    Date: October 28, 2017
    Time: 10:00 AM - 5:00 PM
    Location: Enercare Centre, 100 Princes' Boulevard, Exhibition Place, Toronto
    Event Details:

    Oct. 28: 10:00am – 5:00pm; Oct. 29: 11:00am – 5:00pm

    Ontario Securities Commission will be exhibiting at the Zoomer show. Visit our booth for free resources and to speak with OSC staff.

  • OSC in the Community (Cambridge)

    October 26, 2017 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Cambridge)

    OSC staff will be speaking at the David Durward Centre about investment fraud prevention, questions to ask before you invest and where to find unbiased information.

    Date: October 26, 2017
    Time: 1:00 PM - 2:00 PM
    Location: David Durward Centre, 62 Dickson Street, Cambridge
    Event Details:

    OSC staff will be speaking at the David Durward Centre about investment fraud prevention, questions to ask before you invest and where to find unbiased information.

  • OSC in the Community (Teletownhall)

    October 24, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. Registration is open until noon, October 24, 2017. Register now to participate.

    Date: October 24, 2017
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhalls
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. Learn how to spot some common scams and ask OSC experts your fraud-related questions. Registration is open until noon, October 24, 2017. Register now to participate.

  • Roundtable on the Third Annual Review of Women on Boards and in Executive Officer Positions

    October 24, 2017 @ 9:00 AM - 11:00 AM

    Other

    Roundtable on the Third Annual Review of Women on Boards and in Executive Officer Positions

    Roundtable to discuss the findings of the OSC's third annual review of disclosures made under National Instrument 58-101 Disclosure of Corporate Governance Practices relating to women on boards and in executive officer positions, which will be published in the coming weeks.

    Date: October 24, 2017
    Time: 9:00 AM - 11:00 AM
    Location: OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    Roundtable to discuss the findings of the OSC's third annual review of disclosures made under National Instrument 58-101 Disclosure of Corporate Governance Practices relating to women on boards and in executive officer positions, which will be published in the coming weeks.

    The event will feature a panel discussion on the results of the review, as well as the benefits, challenges and experiences associated with the existing disclosure requirements relating to women on boards and in executive officer positions. Panellists will include representatives of issuers, investors and proxy advisors, as well as governance experts.

    Transcript

    Time

    Topic

    Presenters/Panellists


    8:30 – 9:00 a.m.


    Registration


    9:00 – 9:10 a.m.


    Introduction and opening remarks


    Maureen Jensen
    Chair and CEO, OSC


    9:10 – 9:20 a.m.


    Presentation of the results


    Jo-Anne Matear
    Manager, Corporate Finance, OSC

    Sandra Heldman
    Senior Accountant, Corporate Finance,OSC

    Katie DeBartolo
    Accountant,Corporate Finance, OSC


    9:20 – 10:40 a.m.








    Panel Discussions

    Topic 1: The Results
    A discussion of the key findings
    from the review and reactions to
    the results.

    Moderator:
    Huston Loke
    Director, Corporate Finance, OSC

    Topic 2: What Should the OSC do Next?
    Should any changes be made to the existing disclosure requirements relating to women on boards and in executive officer positions?

    Is there additional information needed to make informed investment and voting decisions?
    Are we asking for any information that is not useful for decision-making?

    Is there a need for further regulatory action? For example, would setting guidelines regarding gender diversity-related governance practices be helpful?
    Where do we go from here?

    Moderators:
    Maureen Jensen
    Chair and CEO, OSC

    AnneMarie Ryan
    Lead Director, OSC


    Donald K. Charter
    Chairman and Director, IAMGold
    Corporation; Director, Lundin Mining Corporation, Dream Office REIT and Sprott Resource Holdings Inc.

    Judy Cotte
    V.P. & Head, Corporate
    Governance & Responsible
    Investment, RBC Global Asset
    Management

    Ungad Chadda
    President, Capital Formation, Equity Capital Markets, TMX Group Ltd.

    Carol Hansell
    Founding Partner, Hansell LLP

    Eileen Mercier
    Professional Director

    Hugh O’Reilly
    President and CEO, OPTrust

    Debra Sisti
    Head of Canadian Governance Research, ISS

    Tanya van Biesen
    Executive Director, Catalyst Canada


    10:40 – 10:55 a.m.


    Questions and answers

    Moderator:
    Huston Loke
    Director, CorporateFinance, OSC



    10:55 – 11:00 a.m.


    Concluding remarks


    Maureen Jensen
    Chair and CEO, OSC

  • OSC in the Community (Mississauga)

    October 20, 2017 @ 3:00 AM - 4:30 PM

    Other

    OSC in the Community (Mississauga)

    OSC staff will be speaking at the Senior Advisory Group meeting about investment fraud prevention and working with an advisor. This meeting is hosted by MPP Dipika Damerla.

    Date: October 20, 2017
    Time: 3:00 AM - 4:30 PM
    Location: Burnhamthorpe Library, Program Room, 3650 Dixie Rd. #101, Mississauga, Ontario
    Event Details:

    OSC staff will be speaking at the Senior Advisory Group meeting about investment fraud prevention and working with an advisor. This meeting is hosted by MPP Dipika Damerla.

  • OSC in the Community (Whitby)

    October 17, 2017 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Whitby)

    OSC staff will be speaking to members of Durham Lifelong Learning. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: October 17, 2017
    Time: 1:30 PM - 3:00 PM
    Location: Hebron Christian Reformed Church, 4240 Anderson St., Whitby
    Event Details:

    OSC staff will be speaking to members of Durham Lifelong Learning. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC LaunchPad Chief Pat Chaukos will be speaking at the Sibos 2017 conference

    October 16, 2017

    Other

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Sibos 2017 conference

    October 16, 2017 to October 19, 2017

    OSC LaunchPad Chief Pat Chaukos will be speaking at the upcoming Sibos 2017 conference. Under the theme of “Building for the Future”, the 2017 conference programme will study the financial industry’s burning issues, including cybersecurity, Artificial Intelligence (AI), the impact of geopolitical and regulatory shifts, and data and identity.

    Date: October 16, 2017
    Time: -
    Location: Metro Toronto Convention Centre, 222 Bremner Blvd, Toronto, Canada
    Event Details:

    October 16, 2017 to October 19, 2017

    OSC LaunchPad Chief Pat Chaukos will be speaking at the upcoming Sibos 2017 conference. Under the theme of “Building for the Future”, the 2017 conference programme will study the financial industry’s burning issues, including cybersecurity, Artificial Intelligence (AI), the impact of geopolitical and regulatory shifts, and data and identity. More

  • OSC Dialogue 2017

    October 12, 2017 @ -

    Other

    OSC Dialogue 2017

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Date: October 12, 2017
    Time: -
    Location: Toronto (Four Seasons Hotel – 60 Yorkville Avenue)
    Event Details:

    Save the date for this annual OSC event that brings together hundreds of market participants on issues and trends facing the capital markets.

    Learn More
  • OSC in the Community (Toronto)

    October 11, 2017 @ 1:15 PM - 2:45 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Ontario Securities Commission staff will be speaking at the OCASI 2017 Professional Development Conference about money management resources and fraud prevention for newcomers.

    Date: October 11, 2017
    Time: 1:15 PM - 2:45 PM
    Location: Westin Prince Hotel, 900 York Mills Road, Toronto
    Event Details:

    Ontario Securities Commission staff will be speaking at the OCASI 2017 Professional Development Conference about money management resources and fraud prevention for newcomers.

  • OSC in the Community (Oshawa)

    October 06, 2017 @ 1:45 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Oshawa)

    OSC staff will be speaking to members of the Telecom Pioneer Club about fraud prevention, working with an advisor and how to make more informed financial decisions.

    Date: October 06, 2017
    Time: 1:45 PM - 3:00 PM
    Location: Unifor Meeting Hall, 1425 Murray Avenue, Oshawa
    Event Details:

    OSC staff will be speaking to members of the Telecom Pioneer Club about fraud prevention, working with an advisor and how to make more informed financial decisions.

  • Jeff Kehoe, Director of Enforcement to speak at PCMA & the WeirFoulds LLP Investment Funds Group special session

    October 05, 2017 @ 4:00 PM - 7:00 PM

    Speech

    Jeff Kehoe, Director of Enforcement to speak at PCMA & the WeirFoulds LLP Investment Funds Group special session

    Jeff Kehoe, Director of Enforcement will discuss recent developments in the investment funds industry.

    Date: October 05, 2017
    Time: 4:00 PM - 7:00 PM
    Location: WeirFoulds LLP, TD Bank Tower, 66 Wellington Street West, Suite 4100, Toronto, ON M5K 1B7
    Event Details:

    Jeff Kehoe, Director of Enforcement will discuss recent developments in the investment funds industry.

  • OSC in the Community (Milton)

    October 03, 2017 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Milton)

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario (MROO) meeting for zone 3 members to discuss common types of investment fraud, how to work with a financial advisor and where to find unbiased financial information.

    Date: October 03, 2017
    Time: 10:00 AM - 3:00 PM
    Location: Grand Chalet, 324 Steeles Avenue E., Milton
    Event Details:

    OSC staff will be speaking at the Municipal Retirees Organization of Ontario (MROO) meeting for zone 3 members to discuss common types of investment fraud, how to work with a financial advisor and where to find unbiased financial information.

  • OSC in the Community (Hamilton)

    September 28, 2017 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    OSC staff will be at the Terryberry Library delivering the Protect Your Money presentation. Community members will learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: September 28, 2017
    Time: 2:30 PM - 3:30 PM
    Location: Terryberry Library, 100 Mohawk Road, Hamilton
    Event Details:

    OSC staff will be at the Terryberry Library delivering the Protect Your Money presentation. Community members will learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Mississauga)

    September 26, 2017 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking to newcomers at Vietnamese Community Centre of Mississauga to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: September 26, 2017
    Time: 1:00 PM - 2:00 PM
    Location: 600 Lakeshore Road East, Mississauga, ON
    Event Details:

    OSC staff will be speaking to newcomers at Vietnamese Community Centre of Mississauga to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • North American Securities Administrators Association 2017 Annual Conference

    September 24, 2017 @ 1:15 PM - 2:30 PM

    Other

    North American Securities Administrators Association 2017 Annual Conference

    OSC LaunchPad Chief Pat Chaukos will be speaking at the upcoming NASAA conference, “The Financial Services Technology Revolution”. Pat will be speaking on Panel Discussion #1: The Future is Here: New Technologies for Raising Capital, Managing Money, and Investing, Sunday, September 24, 2017 at 1:15 p.m. – 2:30 p.m.

    Date: September 24, 2017
    Time: 1:15 PM - 2:30 PM
    Location: NASAA, 750 First Street, N.E., Suite 1140 Washington, DC 20002
    Event Details:

    OSC LaunchPad Chief Pat Chaukos will be speaking at the upcoming NASAA conference, “The Financial Services Technology Revolution”. Pat will be speaking on Panel Discussion #1: The Future is Here: New Technologies for Raising Capital, Managing Money, and Investing, Sunday, September 24, 2017 at 1:15 p.m. – 2:30 p.m.

  • OSC in the Community (Toronto)

    September 21, 2017 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to newcomers at The Cross-Cultural Community Services Association to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

    Date: September 21, 2017
    Time: 10:30 AM - 12:00 PM
    Location: 302 Spadina Road, Unit 206, Toronto
    Event Details:

    OSC staff will be speaking to newcomers at The Cross-Cultural Community Services Association to help them know where to find unbiased financial information, what questions to ask before they invest and the warning signs of fraud.

  • OSC in the Community (Dundas)

    September 19, 2017 @ 7:00 PM - 8:00 PM

    OSC in the Community

    OSC in the Community (Dundas)

    OSC staff will be at the Dundas Library delivering the Protect Your Money presentation. Community members will learn how to protect themselves from investment fraud, what questions to ask before they invest and how to work with a financial advisor.

    Date: September 19, 2017
    Time: 7:00 PM - 8:00 PM
    Location: Dundas Library, 55 Cootes Drive, Dundas
    Event Details:

    OSC staff will be at the Dundas Library delivering the Protect Your Money presentation. Community members will learn how to protect themselves from investment fraud, what questions to ask before they invest and how to work with a financial advisor.

  • OSC in the Community (Toronto)

    September 19, 2017 @ 3:00 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking to CN Pensioners Toronto Council about investment fraud prevention and how to make more informed investing decisions.

    Date: September 19, 2017
    Time: 3:00 PM - 4:30 PM
    Location: Metro Convention Centre, 255 Front Street West, Toronto
    Event Details:

    OSC staff will be speaking to CN Pensioners Toronto Council about investment fraud prevention and how to make more informed investing decisions.

  • Date: September 18, 2017
    Time: 12:30 PM - 4:30 PM
    Location: The Globe and Mail Centre, 351 King Street East, 17th Floor, Toronto ON, M5A 0N1
    Event Details:

    Roundtable to facilitate further stakeholder input on Canadian Securities Administrators (CSA) Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions.

    The event will include panel discussions on the themes emerging from the consultation. The panel discussions will reflect a diversity of views, so as to facilitate a balanced debate.

    Stakeholders wishing to participate as panelists at the roundtable are asked to send an email with full contact details to InvestmentFunds@osc.gov.on.ca.

    Any media interested in attending the roundtable should contact media_inquiries@osc.gov.on.ca.

    Registration is closed. We are maintaining a waiting list. If you wish to be added to the waiting list, please e-mail InvestmentFunds@osc.gov.on.ca


    Transcript


    Time

    Topic

    Panellists

    12:30 p.m. – 1:00 p.m.

    Arrival/check-in

    1:00 p.m. – 1:10 p.m.

    Introduction and opening remarks (Audio)

    Maureen Jensen, OSC Chair and CEO

    1:10 p.m. – 2:10 p.m.

    Topic 1: Capping or standardizing trailing commissions (Audio)

    Moderator: Maureen Jensen, Chair & CEO, OSC

    Warren Collier, Managing Director & Head of Canada iShares, BlackRock Asset Management Canada Limited

    Scott Findlay, President & Chair, IFB Board of Directors, Independent Financial Brokers of Canada

    Neil Gross, President, Component Strategies Consulting

    Nicole Lee, Assistant General Counsel, Royal Bank of Canada, for RBC Global Asset Management Inc.

    Robert Strickland, President, Fidelity Investments Canada ULC

    2:10 p.m. – 3:10 p.m.

    Topic 2: Discontinuing, or implementing additional standards for the use of the deferred sales charge purchase option (Audio)

    Moderator: Grant Vingoe, Vice-Chair, OSC

    John Adams, CEO, PFSL Investments Canada Ltd.

    Sonny Goldstein, President, Goldstein Financial

    Barry McInerney, President & CEO, Mackenzie Financial Corporation

    Marian Passmore, Director of Policy & COO, Canadian Foundation for Advancement of Investor Rights

    3:10 p.m. – 3:30 p.m.

    Break

    3:30 p.m. – 4:30 p.m.

    Topic 3: Enhancements to disclosure and choice for investors (Audio)

    Moderator: Deborah Leckman, Commissioner, OSC

    Paul Bourque, President & CEO, Investment Funds Institute of Canada

    Duane Green, President & CEO, Franklin Templeton Investments Canada

    Dan Hallett, Vice-President & Principal, HighView Financial Group

    Sandra Kegie, Executive Director, Federation of Mutual Fund Dealers

    4:30 p.m.

    Closing (Audio)

  • OSC in the Community (Burlington)

    September 15, 2017 @ 7:00 AM - 8:15 AM

    OSC in the Community

    OSC in the Community (Burlington)

    OSC will be speaking to members of the Rotary Club of Burlington North about investment fraud protection.

    Date: September 15, 2017
    Time: 7:00 AM - 8:15 AM
    Location: Millcroft Country Club, 2250 Country Club Drive, Burlington
    Event Details:

    OSC will be speaking to members of the Rotary Club of Burlington North about investment fraud protection.

  • Registrant series: Portfolio managers (Session A: In-Person)

    September 14, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant series: Portfolio managers (Session A: In-Person)

    This seminar will focus on several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

    Date: September 14, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    Description:

    This seminar will focus on several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

    • Providing advisory services to “senior” clients,
    • Preliminary findings from our sweep review of PMs with a large percentage of “senior clients” and discussion of some best practices for dealing with “senior” clients,
    • Findings from compliance reviews of online advisers, and discussion of regulatory obligations and best practices for PMs with this business model, and
    • Findings from our reviews of “one-person” PM firms, along with guidance on compliance and regulatory obligations as highlighted in CSA Staff Notice 31-350.

    It will also include an overview of the OSC Investor Office’s work on issues related to senior investors.

    Who should attend:

    Advising representatives, ultimate designated persons, chief compliance officers, and legal counsel of portfolio managers.


    Benefits:

    • Learn about challenges of servicing an increasingly ageing investor demographic
    • Gain insight into what to include in policies and procedures for dealing with “senior” clients
    • Learn what is expected of PMs who operate as online advisers
    • Enhance understanding of compliance obligations for “one-person” PM firms, including best practices for developing a business succession plan.
  • OSC in the Community (Rockwood)

    September 12, 2017 @ 12:30 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Rockwood)

    OSC will be providing a Protect Your Money presentation at the Rockwood Seniors Fair. Seminar participants to learn how to protect yourself from investment fraud and how to work with your advisor.

    Date: September 12, 2017
    Time: 12:30 PM - 2:00 PM
    Location: Rockmosa Older Adult Centre, 74 Christie Street, Rockwood
    Event Details:

    OSC will be providing a Protect Your Money presentation at the Rockwood Seniors Fair. Seminar participants to learn how to protect yourself from investment fraud and how to work with your advisor.

  • Registrant series: Portfolio managers (Session A: Webinar)

    September 11, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Registrant series: Portfolio managers (Session A: Webinar)

    This seminar will focus on several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

    Date: September 11, 2017
    Time: 2:00 PM - 4:00 PM
    Location: Webinar
    Event Details:

    Description:

    This seminar will focus on several key topics for portfolio managers (PMs) that were highlighted in our 2017 Annual Summary Report for Dealers, Advisers and IFMs (OSC Staff Notice 33-748). The topics that will be discussed are as follows:

    • Providing advisory services to “senior” clients,
    • Preliminary findings from our sweep review of PMs with a large percentage of “senior clients” and discussion of some best practices for dealing with “senior” clients,
    • Findings from compliance reviews of online advisers, and discussion of regulatory obligations and best practices for PMs with this business model, and
    • Findings from our reviews of “one-person” PM firms, along with guidance on compliance and regulatory obligations as highlighted in CSA Staff Notice 31-350.

    It will also include an overview of the OSC Investor Office’s work on issues related to senior investors.

     

    Who should attend:

    Advising representatives, ultimate designated persons, chief compliance officers, and legal counsel of portfolio managers.

    Benefits:

    • Learn about challenges of servicing an increasingly ageing investor demographic
    • Gain insight into what to include in policies and procedures for dealing with “senior” clients
    • Learn what is expected of PMs who operate as online advisers
    • Enhance understanding of compliance obligations for “one-person” PM firms, including best practices for developing a business succession plan.
  • OSC in the Community (Scarborough)

    September 07, 2017 @ 3:00 PM - 4:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to newcomers at Settlement Assistance and Family Support Services to help them find unbiased financial information, know what questions to ask before they invest and the warning signs of investment fraud.

    Date: September 07, 2017
    Time: 3:00 PM - 4:30 PM
    Location: 1200 Markham Road, Suite 214, Scarborough
    Event Details:

    OSC staff will be speaking to newcomers at Settlement Assistance and Family Support Services to help them find unbiased financial information, know what questions to ask before they invest and the warning signs of investment fraud.

  • OSC Director, Corporate Finance, Huston Loke will be speaking at the RealREIT conference

    September 07, 2017

    Speech

    OSC Director, Corporate Finance, Huston Loke will be speaking at the RealREIT conference

    Conference to examine strategies, issues, opportunities and trends primarily in the Canadian REIT and REOC markets, and where this asset class is heading from the perspectives of owners, developers, investors, and lenders.

    Date: September 07, 2017
    Time: -
    Location: Metro Toronto Convention Centre North Building
    Event Details:

    Conference to examine strategies, issues, opportunities and trends primarily in the Canadian REIT and REOC markets, and where this asset class is heading from the perspectives of owners, developers, investors, and lenders.

    More information

  • OSC in the Community (Cobourg)

    August 24, 2017 @ 11:00 AM - 11:45 AM

    OSC in the Community

    OSC in the Community (Cobourg)

    OSC staff will be speaking to members of the Probus Northshore Cobourg Club. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam, what questions to ask before you invest and where to find unbiased information.

    Date: August 24, 2017
    Time: 11:00 AM - 11:45 AM
    Location: Lions Community Centre, 157 Elgin Street East, Cobourg
    Event Details:

    OSC staff will be speaking to members of the Probus Northshore Cobourg Club. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam, what questions to ask before you invest and where to find unbiased information.

  • OSC in the Community (Scarborough)

    August 22, 2017 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to newcomers about saving and investing, fraud prevention and where to find unbiased information.

    Date: August 22, 2017
    Time: 12:00 PM - 1:30 PM
    Location: YMCA Scarborough, 10 Milner Business Court, Suite 600, Scarborough
    Event Details:

    OSC staff will be speaking to newcomers about saving and investing, fraud prevention and where to find unbiased information.

  • Webcast: OSC Chair Maureen Jensen Speaks with Toronto Centre Global Leadership in Financial Supervision on Closing the Gender Gap: The Role of Financial Regulators

    August 11, 2017 @ -

    Other

    Webcast: OSC Chair Maureen Jensen Speaks with Toronto Centre Global Leadership in Financial Supervision on Closing the Gender Gap: The Role of Financial Regulators
    Toronto Centre is proud to introduce our first webcast on "Closing the Gender Gap: the Role of Financial Regulators," featuring guest speakers: Maureen Jensen, Chair and CEO, Ontario Securities Commission,and Ceyla Pazarbasioglu, Senior Director, Finance and Markets Global Practice, World Bank.”

    Date: August 11, 2017
    Time: -
    Location:
    Event Details: Toronto Centre is proud to introduce our first webcast on "Closing the Gender Gap: the Role of Financial Regulators," featuring guest speakers: Maureen Jensen, Chair and CEO, Ontario Securities Commission,and Ceyla Pazarbasioglu, Senior Director, Finance and Markets Global Practice, World Bank.”

    Watch the webcast

  • OSC in the Community (Richmond Hill)

    August 10, 2017 @ 1:30 PM - 3:00 PM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be speaking to LINC at the Richmond Hill Welcome Centre about saving and investing, fraud prevention and where to find unbiased information.

    Date: August 10, 2017
    Time: 1:30 PM - 3:00 PM
    Location: Welcome Centre Richmond Hill, 9325 Yonge Street, Richmond Hill
    Event Details:

    OSC staff will be speaking to LINC at the Richmond Hill Welcome Centre about saving and investing, fraud prevention and where to find unbiased information.

  • OSC in the Community (Bradford)

    August 08, 2017 @ 11:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Bradford)

    OSC staff will be speaking to members of the Probus Club of Bradford. The presentation, Protect Your Money, will cover: common types of fraud, warning signs of fraud and what questions to ask before investing so you can make more informed investing decisions.

    Date: August 08, 2017
    Time: 11:00 AM - 12:00 PM
    Location: St. John’s Presbyterian Church, 2940 Side Road 10, Bradford
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Bradford. The presentation, Protect Your Money, will cover: common types of fraud, warning signs of fraud and what questions to ask before investing so you can make more informed investing decisions.

  • OSC in the Community (Richmond Hill)

    July 21, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Richmond Hill)

    OSC staff will be speaking to LINC students at the Richmond Hill Welcome Centre about saving and investing, fraud prevention and where to find unbiased information.

    Date: July 21, 2017
    Time: 9:30 AM - 11:00 AM
    Location: 9325 Yonge Street, Richmond Hill
    Event Details:

    OSC staff will be speaking to LINC students at the Richmond Hill Welcome Centre about saving and investing, fraud prevention and where to find unbiased information.

  • OSC in the Community (Hamilton)

    July 17, 2017 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Hamilton)

    OSC staff will be speaking at the YWCA about the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: July 17, 2017
    Time: 10:00 AM - 11:30 AM
    Location: 75 MacNab Street South, Hamilton
    Event Details:

    OSC staff will be speaking at the YWCA about the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Mississauga)

    July 11, 2017 @ 5:00 PM - 6:30 PM

    OSC in the Community

    OSC in the Community (Mississauga)

    OSC staff will be speaking at Indus Community Services to their clients about how to protect themselves from investment fraud.

    Date: July 11, 2017
    Time: 5:00 PM - 6:30 PM
    Location: 3038 Hurontario Street, Suite 307, Mississauga
    Event Details:

    OSC staff will be speaking at Indus Community Services to their clients about how to protect themselves from investment fraud.

  • OSC in the Community (teletownhall)

    June 27, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 27, 2017 to participate.

    Date: June 27, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 27, 2017 to participate.

  • OSC LaunchPad Chief Pat Chaukos will be speaking at the Economic Club of Canada

    June 23, 2017 @ 11:30 AM - 1:30 PM

    Speech

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Economic Club of Canada

    Emerging technologies in the financial sector (“FinTech”) are driving transformational change in financial services and disrupting every aspect of the industry. From payments and financing to financial advice and asset management, these new developments bring both opportunities and risks. In this Economic Club exclusive.....

    Date: June 23, 2017
    Time: 11:30 AM - 1:30 PM
    Location: Fairmont Royal York Hotel - 100 Front Street West, Toronto
    Event Details: Hosted by the Economic Club of Canada
    FinTech and the Transformation of Financial Services

    Emerging technologies in the financial sector (“FinTech”) are driving transformational change in financial services and disrupting every aspect of the industry. From payments and financing to financial advice and asset management, these new developments bring both opportunities and risks. In this Economic Club exclusive, join our expert panel as we discuss how technologies can disrupt the nature and provision of financial services and the implications that these changes may have for financial stability and regulation.

    Panel Discussion Featuring:

    • Pat Chaukos, Chief, OSC LaunchPad, Ontario Securities Commission
    • Erin Elofson, Head of Financial Services, Retail and Telecom Verticals Facebook Canada
    • Dubie Cunningham, Vice President, Enterprise Innovation, Digital Banking, Scotiabank

    Learn more
  • OSC in the Community (Pickering)

    June 22, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Pickering)

    OSC staff will be at Central Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 22, 2017
    Time: 7:00 PM - 8:30 PM
    Location: Central Library, One the Esplanade, Pickering
    Event Details:

    OSC staff will be at Central Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Toronto)

    June 21, 2017 @ 10:00 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be exhibiting and speaking about fraud prevention at the Seniors Information Session & Expo.

    Date: June 21, 2017
    Time: 10:00 AM - 12:00 PM
    Location: 1003 Steles Avenue West, Bernard Betel Centre, Toronto
    Event Details:

    OSC staff will be exhibiting and speaking about fraud prevention at the Seniors Information Session & Expo.

  • OSC in the Community (Ottawa)

    June 19, 2017 @ 10:00 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Ottawa)

    OSC staff will be speaking to the members of CARP Ottawa Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: June 19, 2017
    Time: 10:00 AM - 11:00 AM
    Location: Ottawa RA Centre, 2451 Riverside Drive, Ottawa
    Event Details:

    OSC staff will be speaking to the members of CARP Ottawa Chapter. The Protect Your Money presentation will help club members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Sault Ste. Marie)

    June 15, 2017 @ 10:15 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    OSC staff will be at the Senior Citizen’s Drop in Centre to talk about fraud prevention. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 15, 2017
    Time: 10:15 AM - 11:30 AM
    Location: Senior Citizens' Drop-In Centre 619 Bay Street, Sault Ste. Marie
    Event Details:

    OSC staff will be at the Senior Citizen’s Drop in Centre to talk about fraud prevention. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Sault Ste. Marie)

    June 14, 2017 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Sault Ste. Marie)

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

    Date: June 14, 2017
    Time: 12:00 PM - 1:30 PM
    Location: Northland Adult Learning Conference, 440 Northland Road, Sault Ste. Marie
    Event Details:

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

  • Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session B: In-Person)

    June 14, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session B: In-Person)

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Date: June 14, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    Description:

    • how registrants, with a focus on investment fund managers, can effectively oversee third party service providers retained to provide fund accounting, trust accounting, recordkeeping, compliance consulting, portfolio management and other services;
    • the CSA’s proposed amendments to NI 81-102 and NI 81-101 with respect to alternative funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:

    • Gain insight into how a registrant can effectively oversee its service providers in order to meet its obligation of being responsible and accountable for the work performed by service providers.
    • Enhance understanding of the CSA’s proposed amendments to revise regulation for alternative funds.
  • OSC in the Community (Barrie)

    June 13, 2017 @ 12:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Barrie)

    OSC staff will be speaking to members of the Bell Pensioners Group about how to protect themselves from investment fraud.

    Date: June 13, 2017
    Time: 12:00 PM - 1:30 PM
    Location: Barrie Liberty North Banquet Facility, 100 Caplan Ave., Unit 1, Barrie
    Event Details:

    OSC staff will be speaking to members of the Bell Pensioners Group about how to protect themselves from investment fraud.

  • OSC in the Community (North York)

    June 12, 2017

    OSC in the Community

    OSC in the Community (North York)

    Time: 10:30am-12:00pm and 1:00pm-2:30pm

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

    Date: June 12, 2017
    Time: -
    Location: Jewish Immigrant Aid Services, 15 Hove Street, North York
    Event Details:

    Time: 10:30am-12:00pm and 1:00pm-2:30pm

    OSC staff will be speaking to new Canadians about money management and fraud prevention.

  • Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session A: Webinar)

    June 12, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Effective Oversight of Service Providers and Modernization of Investment Fund Product Regulation- Alternative Funds (Session A: Webinar)

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Date: June 12, 2017
    Time: 2:00 PM - 4:00 PM
    Location: webinar
    Event Details:

    Description:

    • how registrants, with a focus on investment fund managers, can effectively oversee third party service providers retained to provide fund accounting, trust accounting, recordkeeping, compliance consulting, portfolio management and other services;
    • the CSA’s proposed amendments to NI 81-102 and NI 81-101 with respect to alternative funds.

    Who should attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:

    • Gain insight into how a registrant can effectively oversee its service providers in order to meet its obligation of being responsible and accountable for the work performed by service providers.
    • Enhance understanding of the CSA’s proposed amendments to revise regulation for alternative funds.

     

    Register

  • OSC in the Community (Port Hope)

    June 08, 2017 @ 9:30 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Port Hope)

    OSC staff will be speaking to members of the Ganaraska Valley Probus Club about fraud prevention and what questions to ask before you invest.

    Date: June 08, 2017
    Time: 9:30 AM - 10:30 AM
    Location: Town Park Recreation Centre, 62 McCaul Street, Port Hope
    Event Details:

    OSC staff will be speaking to members of the Ganaraska Valley Probus Club about fraud prevention and what questions to ask before you invest.

  • OSC in the Community (Teletownhall)

    June 07, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 7, 2017 to participate.

    Date: June 07, 2017
    Time: 6:30 PM - 7:30 PM
    Location: Teletownhalls
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Similar in format to a call-in radio show, during the teletownhall OSC staff provide information, answer questions and conduct live polls over the course of one hour. To learn how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on June 7, 2017 to participate.

  • OSC in the Community (Oakville)

    June 06, 2017 @ 6:00 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (Oakville)

    OSC staff will be at Oakville Public Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: June 06, 2017
    Time: 6:00 PM - 7:30 PM
    Location: Oakville Public Library, Central Branch, Auditorium, 120 Navy Street, Oakville
    Event Details:

    OSC staff will be at Oakville Public Library. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC in the Community (Toronto)

    June 03, 2017 @ 1:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    OSC staff will be speaking at Ryerson’s 50+ Festival.  Come and hear staff discuss how to protect yourself from investment fraud and how to make more informed financial decisions.

    Date: June 03, 2017
    Time: 1:00 PM - 2:00 PM
    Location: Library 72, Library Building 350 Victoria Street at Gould Ryerson University Campus
    Event Details:

    OSC staff will be speaking at Ryerson’s 50+ Festival. Come and hear staff discuss how to protect yourself from investment fraud and how to make more informed financial decisions.

  • OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Canadian Institute conference on Corporate Whistleblower Compliance

    May 30, 2017 @ -

    Other

    OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Canadian Institute conference on Corporate Whistleblower Compliance

    OSC Office of the Whistleblower Chief, Heidi Franken, will provide an overview of the Whistleblower Program including some of its key features as well as protections that have recently come into force.

    Date: May 30, 2017
    Time: -
    Location: Marriott Bloor Yorkville Hotel, Toronto, ON
    Event Details:

    OSC Office of the Whistleblower Chief, Heidi Franken, will provide an overview of the Whistleblower Program including some of its key features as well as protections that have recently come into force.

    Learn more.

  • Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

    May 29, 2017 @ 9:00 AM - 12:00 PM

    Other

    Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers

    The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss stakeholder input on the CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct (NI 93-101).

    Date: May 29, 2017
    Time: 9:00 AM - 12:00 PM
    Location: OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Ontario Securities Commission (OSC) today announced that it will hold a roundtable to discuss stakeholder input on the CSA Notice and Request for Comment on Proposed National Instrument 93-101 Derivatives: Business Conduct (NI 93-101).

    The event will feature panel discussions on the major policy proposals in NI 93-101. Panellists will be selected to reflect a diversity of roles and views. Representatives of banks, pension funds and buy-side market participants have been invited.

    The OSC will provide additional details, including the agenda and list of panellists no later than May 22, 2017.

    Interested parties wishing to attend the roundtable are asked to send an email with full contact details to: derivatives@osc.gov.on.ca to confirm their attendance. Space is limited. A transcript will be posted on the OSC’s website following the roundtable.

    Transcript

    Agenda


    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)

  • OSC LaunchPad Chief Pat Chaukos will be speaking at the Payments Canada Summit on Investing in FinTech Innovation

    May 25, 2017 @ -

    Other

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Payments Canada Summit on Investing in FinTech Innovation

    Summit will feature leading authorities and innovators on a wide variety of payment related topics including: Payments Modernization, The Payment Experience, Blockchain & DLT, Financial Inclusion, Data Rich Payments / ISO 20022, Emerging Payment Technologies, Digital ID and Authorization, AI in Payments, Fraud & Risk Detection

    Date: May 25, 2017
    Time: -
    Location: Metropolitan Ballroom, The Westin Harbour Castle Conference Centre
    Event Details:

    Summit will feature leading authorities and innovators on a wide variety of payment related topics including: Payments Modernization, The Payment Experience, Blockchain & DLT, Financial Inclusion, Data Rich Payments / ISO 20022, Emerging Payment Technologies, Digital ID and Authorization, AI in Payments, Fraud & Risk Detection

    Learn more.

  • OSC in the Community (Kitchener)

    May 16, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Kitchener)

    Come and hear OSC staff discuss the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: May 16, 2017
    Time: 7:00 PM - 8:30 PM
    Location: Breithaupt Centre, 350 Margaret Avenue, Kitchener
    Event Details:

    Come and hear OSC staff discuss the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC Vice-Chair Monica Kowal speaks at the Metro Toronto Convention Centre

    May 15, 2017 @ 9:45 AM - 10:45 AM

    Speech

    OSC Vice-Chair Monica Kowal speaks at the Metro Toronto Convention Centre

    Monica Kowal is speaking on the The Impact of Regulation on Financial Centres & Fintech Development panel.

    Date: May 15, 2017
    Time: 9:45 AM - 10:45 AM
    Location: Metro Toronto Convention Centre: South Building - Room 801 222 Bremner Boulevard Toronto, ON
    Event Details:

    Monica Kowal is speaking on the The Impact of Regulation on Financial Centres & Fintech Development panel.

    Learn more

  • OSC in the Community (Willowdale)

    May 15, 2017 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Willowdale)

    OSC staff will be speaking at the Bell Pensioners Group Ontario Central Chapter Annual General Meeting about red flags of fraud, common types of investment fraud, and what questions to ask before you invest.

    Date: May 15, 2017
    Time: 1:30 PM - 2:30 PM
    Location: Willowdale Baptist Church, 10 Olive Avenue, Willowdale
    Event Details:

    OSC staff will be speaking at the Bell Pensioners Group Ontario Central Chapter Annual General Meeting about red flags of fraud, common types of investment fraud, and what questions to ask before you invest.

  • OSC in the Community (Toronto)

    May 10, 2017 @ 9:00 AM - 5:00 PM

    OSC in the Community

    OSC in the Community (Toronto)

    Come and visit the OSC’s exhibit table at the 2017 Annual NICE Knowledge Exchange. The conference program features workshops on aging, sessions on various dimensions of gerontology, panel discussions, and a student research competition.

    Date: May 10, 2017
    Time: 9:00 AM - 5:00 PM
    Location: Hart House, 7 Hart House Circle, Toronto
    Event Details:

    Come and visit the OSC’s exhibit table at the 2017 Annual NICE Knowledge Exchange. The conference program features workshops on aging, sessions on various dimensions of gerontology, panel discussions, and a student research competition.

  • OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Allard School of Law about recent initiatives on whistleblowing

    May 08, 2017 @ 4:00 PM - 6:30 PM

    Other

    OSC Office of the Whistleblower Chief Heidi Franken will be speaking at the Allard School of Law about recent initiatives on whistleblowing

    Seminar to explore recent initiatives in whistleblowing, with particular emphasis on the OSC Whistleblower Program

    Date: May 08, 2017
    Time: 4:00 PM - 6:30 PM
    Location: The BC Hydro Centre, 333 Dunsmuir Street, Vancouver, British Columbia V6B 5R4
    Event Details:

    Seminar to explore recent initiatives in whistleblowing, with particular emphasis on the OSC Whistleblower Program

    Learn more.

  • Canadian Bitcoin Blockchain meetup: Blockchain Revolution!

    May 08, 2017 @ 5:30 PM - 9:00 PM

    Other

    Canadian Bitcoin Blockchain meetup: Blockchain Revolution!

    The OSC LaunchPad team will be present at Blockchain Revolution! Please come by to say hello and to learn more about how we can help your fintech business.

    Date: May 08, 2017
    Time: 5:30 PM - 9:00 PM
    Location: MaRS Discovery District Auditorium, 101 College Street, Toronto, Ontario
    Event Details:

    Members of the core and extended OSC LaunchPad team will be present at Blockchain Revolution! Please come by to say hello and to learn more about how securities regulation may apply to your business and how we can help if it does

    Learn more

  • OSC in the Community (London)

    May 03, 2017 @ 10:00 AM - 11:15 AM

    OSC in the Community

    OSC in the Community (London)

    OSC staff will be speaking to retirees of Unifor Local 124 about the red flags of fraud, questions to ask before you invest and where to find unbiased financial information.

    Date: May 03, 2017
    Time: 10:00 AM - 11:15 AM
    Location: 606 First Street, London
    Event Details:

    OSC staff will be speaking to retirees of Unifor Local 124 about the red flags of fraud, questions to ask before you invest and where to find unbiased financial information.

  • OSC in the Community (Bowmanville)

    May 02, 2017 @ 11:15 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Bowmanville)

    OSC staff will be the luncheon speaker at the Retired Women Teachers of Ontario Northumberland South Durham Branch meeting.   Staff will discuss the red flags of fraud, common types of fraud and what questions to ask before you invest.

    Date: May 02, 2017
    Time: 11:15 AM - 12:00 PM
    Location: Trinity United Church, 116 Church Street, Bowmanville
    Event Details: OSC staff will be the luncheon speaker at the Retired Women Teachers of Ontario Northumberland South Durham Branch meeting. Staff will discuss the red flags of fraud, common types of fraud and what questions to ask before you invest.
  • OSC in the Community (Guelph)

    April 29, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Guelph)

    OSC staff will be speaking to members of the community to help them learn how to recognize and protect themselves from investment fraud.

    Date: April 29, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Knox Church, 20 Quebec Street, Guelph
    Event Details:

    OSC staff will be speaking to members of the community to help them learn how to recognize and protect themselves from investment fraud.

  • OSC in the Community (North York)

    April 27, 2017 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (North York)

    Attend the Protect your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: April 27, 2017
    Time: 7:00 PM - 8:30 PM
    Location: York Woods Library, 1785 Finch Avenue West, North York
    Event Details:

    Attend the Protect your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Chatham)

    April 26, 2017 @ 11:30 AM - 2:30 PM

    OSC in the Community

    OSC in the Community (Chatham)

    OSC staff will be speaking to members of the Chatham Kent RWTO Branch about fraud prevention, common types of fraud and what questions to ask before you invest.

    Date: April 26, 2017
    Time: 11:30 AM - 2:30 PM
    Location: Charing Cross United Church, 8561 Middle Line, Chatham
    Event Details:

    OSC staff will be speaking to members of the Chatham Kent RWTO Branch about fraud prevention, common types of fraud and what questions to ask before you invest.

  • OSC in the Community (Scarborough)

    April 24, 2017 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    Date: April 24, 2017
    Time: 10:30 AM - 12:00 PM
    Location: Polycultural Immigrant & Community Services, 3660-A Midland Avenue, Scarborough
    Event Details:

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

  • OSC in the Community (Beamsville)

    April 20, 2017 @ 10:45 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Beamsville)

    OSC staff will be speaking to members of the Lincoln West RWTO Branch about fraud prevention and how to make more informed financial decisions.

    Date: April 20, 2017
    Time: 10:45 AM - 12:00 PM
    Location: Trinity United Church, 4287 William Street, Beamsville
    Event Details:

    OSC staff will be speaking to members of the Lincoln West RWTO Branch about fraud prevention and how to make more informed financial decisions.

  • 2017 PCMA Private Capital Markets Conference

    April 20, 2017 @ 7:30 AM - 8:00 PM

    Other

    2017 PCMA Private Capital Markets Conference

    OSC LaunchPad Chief Pat Chaukos will be speaking on “What is FinTech? Hottest FinTech Trends for 2017

    Date: April 20, 2017
    Time: 7:30 AM - 8:00 PM
    Location: First Canadian Place, 77 Adelaide St. W., Toronto, Ontario
    Event Details:

    OSC LaunchPad Chief Pat Chaukos will be speaking at the 2017 PCMA Private Capital Markets Conference on “What is FinTech? Hottest FinTech Trends for 2017”.

    Learn more

  • OSC in the Community (Etobicoke)

    April 18, 2017 @ 10:30 AM - 12:00 PM

    OSC in the Community

    OSC in the Community (Etobicoke)

    OSC staff will be speaking to the Barclays Ladies Club to help them learn how to protect themselves from investment fraud and what questions to ask before they invest.

    Date: April 18, 2017
    Time: 10:30 AM - 12:00 PM
    Location: Barclay Terrace, Hospitality Room, 1300 Islington Ave., Etobicoke
    Event Details:

    OSC staff will be speaking to the Barclays Ladies Club to help them learn how to protect themselves from investment fraud and what questions to ask before they invest.

  • CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Session B In-Person)

    April 13, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CSA Consultation Paper 81-408 - Consultation on the Option of Discontinuing Embedded Commissions (Session B In-Person)

    The seminar will provide an overview of the CSA’s consultation on the option of discontinuing embedded commissions. Key topics discussed will include: the CSA’s consultation objectives, the investor protection and market efficiency issues that embedded commissions raise, the proposed scope of a potential policy discontinuing embedded commissions, the CSA’s analysis of the potential impacts of discontinuing embedded commissions in Canada, and potential measures to mitigate unintended consequences.

    Date: April 13, 2017
    Time: 2:00 PM - 4:00 PM
    Location: 22nd Floor Training Room Ontario Securities Commission 20 Queen Street West Toronto, ON
    Event Details:

    The seminar will provide an overview of the CSA’s consultation on the option of discontinuing embedded commissions. Key topics discussed will include: the CSA’s consultation objectives, the investor protection and market efficiency issues that embedded commissions raise, the proposed scope of a potential policy discontinuing embedded commissions, the CSA’s analysis of the potential impacts of discontinuing embedded commissions in Canada, and potential measures to mitigate unintended consequences.

    Who should Attend:

    Registered representatives, ultimate designated persons, chief compliance officers, and legal counsel for investment fund managers and dealers.

    Benefits:
    • Enhance understanding of the CSA’s proposal on the option of discontinuing embedded commissions and its assessment of the potential impacts of such a change on investors and industry participants;
    • Gain insights that will assist in responding to the consultation paper.

    Register now

  • OSC in the Community (Oakville)

    April 11, 2017

    OSC in the Community

    OSC in the Community (Oakville)

    OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    This event has two times: 10:45am - 11:30am and 1:00pm - 2:00pm

    Date: April 11, 2017
    Time: 10:45 AM - 11:30 AM
    Location: HMC Connections, 380 Dundas Street East, Oakville
    Event Details: OSC staff will be speaking to LINC students about saving and investing, fraud prevention and where to find unbiased information.

    This event has two times: 10:45am - 11:30am and 1:00pm - 2:00pm
  • OSC in the Community (Timmins)

    April 06, 2017 @ 9:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Timmins)

    Attend the Protect Your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

    Date: April 06, 2017
    Time: 9:30 AM - 11:30 AM
    Location: St. Mary’s Garden, 225 Fifth Avenue, Timmins
    Event Details:

    Attend the Protect Your Money presentation to learn the red flags of fraud, common types of investment fraud, and how to make more informed financial decisions.

  • OSC in the Community (Markham)

    April 04, 2017 @ 10:30 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Markham)

    OSC staff will be speaking at the Milliken Mills Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

    Date: April 04, 2017
    Time: 10:30 AM - 11:30 AM
    Location: Milliken Mills Community Centre, 7660 Kennedy Road, Markham
    Event Details:

    OSC staff will be speaking at the Milliken Mills Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, what questions to ask before they invest and how to make more informed financial decisions.

  • OSC Chair Maureen Jensen speaks at the Gender Equality Forum 2017

    April 03, 2017 @ 4:00 PM - 5:00 PM

    Speech

    OSC Chair Maureen Jensen speaks at the Gender Equality Forum 2017

    Take action along with fellow leaders from business, civil society, government and the United Nations to scale up gender equality and achieve the Sustainable Development Goals - particularly SDG5, focused on the empowerment of women and girls.

    Date: April 03, 2017
    Time: 4:00 PM - 5:00 PM
    Location: Deloitte Canada’s Toronto head office at 22 Adelaide St W #200, Toronto, ON M5H 0A9.
    Event Details:

    Take action along with fellow leaders from business, civil society, government and the United Nations to scale up gender equality and achieve the Sustainable Development Goals - particularly SDG5, focused on the empowerment of women and girls.

    More information

  • OSC in the Community (teletownhall)

    March 30, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on March 30, 2017 to participate.

    Date: March 30, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about how to spot some common scams and to ask OSC experts your fraud-related questions, register before 12:00pm on March 30, 2017 to participate.

  • OSC Chair Maureen Jensen Speaks at Conference on the New Paradigm of Financial Advice

    March 30, 2017 @ 12:30 PM - 1:45 PM

    Speech

    OSC Chair Maureen Jensen Speaks at Conference on the New Paradigm of Financial Advice

    This two day conference is a collaboration between the C.D. Howe Institute, the University of Calgary’s School of Public Policy, and CIRANO, together with the Toronto Financial Services Alliance.

    Date: March 30, 2017
    Time: 12:30 PM - 1:45 PM
    Location: The Westin Harbour Castle, 1 Harbour Square, Toronto
    Event Details:

    Thursday, March 30, 2017 - 08:00 to Friday, March 31, 2017 - 14:00

    This two day conference is a collaboration between the C.D. Howe Institute, the University of Calgary’s School of Public Policy, and CIRANO, together with the Toronto Financial Services Alliance.

    The landscape for financial advice, in Canada as elsewhere in the world, stands on the brink of a profound transformation.

    This March, senior leaders will come together to tackle the public policy implications of this new landscape as it affects access to financial advice for Canadians of all income and wealth levels.

    Latest information on C.D. Howe Institute website

    Register Now

  • OSC in the Community (Whitby)

    March 30, 2017 @ 1:00 PM - 1:50 PM

    OSC in the Community

    OSC in the Community (Whitby)

    OSC staff will be at the Active Living Fair to deliver the Protect Your Money presentation. Attend the seminar to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 30, 2017
    Time: 1:00 PM - 1:50 PM
    Location: Whitby’s Senior Activity Centre, 801 Brock St. South, Whitby
    Event Details:

    OSC staff will be at the Active Living Fair to deliver the Protect Your Money presentation. Attend the seminar to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC in the Community (Alliston)

    March 27, 2017 @ 10:00 AM - 11:30 AM

    OSC in the Community

    OSC in the Community (Alliston)

    OSC staff will be speaking to the Women’s Probus Club of Alliston about fraud prevention and the client-advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam, questions to ask before you invest and where to find unbiased information.

    Date: March 27, 2017
    Time: 10:00 AM - 11:30 AM
    Location: Nottawasaga Inn, 6015 Highway 89, Alliston
    Event Details:

    OSC staff will be speaking to the Women’s Probus Club of Alliston about fraud prevention and the client-advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam, questions to ask before you invest and where to find unbiased information.

  • OSC in the Community (Scarborough)

    March 25, 2017 @ 10:00 AM - 3:00 PM

    OSC in the Community

    OSC in the Community (Scarborough)

    The OSC will have an exhibit table and also give a presentation at the Active Living Fair. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation (10:00am – 10:45am) to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 25, 2017
    Time: 10:00 AM - 3:00 PM
    Location: St. Paul L’Amoreaux Centre, 3333 Finch Avenue East, Scarborough
    Event Details:

    The OSC will have an exhibit table and also give a presentation at the Active Living Fair. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation (10:00am – 10:45am) to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC Chair Maureen Jensen speaks at Australian Securities & Investments Commission Annual Forum

    March 20, 2017 @ 9:55 AM - 11:15 AM

    Speech

    OSC Chair Maureen Jensen speaks at Australian Securities & Investments Commission Annual Forum

    Increased competition, a growing appetite for digital solutions and public questioning of institutions are redefining the financial landscape. At the same time, global markets continue to be rocked by the unexpected. With such financial sector uncertainty, are we doing enough to future-proof our system?

    Date: March 20, 2017
    Time: 9:55 AM - 11:15 AM
    Location: Hilton Sydney 488 George St, Sydney NSW 2000, Australia
    Event Details:

    Increased competition, a growing appetite for digital solutions and public questioning of institutions are redefining the financial landscape. At the same time, global markets continue to be rocked by the unexpected. With such financial sector uncertainty, are we doing enough to future-proof our system?

    Over two days, the Forum will explore the balance between innovation and stability in our rapidly transforming financial system. What's the right balance when planning for a future we can only begin to imagine?

    More Information
  • OSC in the Community (Brampton)

    March 15, 2017 @ 10:00 AM - 10:30 AM

    OSC in the Community

    OSC in the Community (Brampton)

    OSC staff will be speaking to Unifor 1285 Retiree Chapter about investment fraud. The Protect Your Money presentation will help retirees learn how to recognize frauds and scams, what to do if you suspect a scam and questions to ask before you invest.

    Date: March 15, 2017
    Time: 10:00 AM - 10:30 AM
    Location: 23 Regan Road Brampton
    Event Details:

    OSC staff will be speaking to Unifor 1285 Retiree Chapter about investment fraud. The Protect Your Money presentation will help retirees learn how to recognize frauds and scams, what to do if you suspect a scam and questions to ask before you invest.

  • OSC Chair Maureen Jensen Speaks at C.D. Howe Institute

    March 09, 2017 @ 12:00 PM - 1:30 PM

    Speech

    OSC Chair Maureen Jensen Speaks at  C.D. Howe Institute

    OSC LaunchPad: Being a modern regulator in the age of market disruption

    Date: March 09, 2017
    Time: 12:00 PM - 1:30 PM
    Location: C.D. Howe Institute, 67 Yonge Street, Suite 300, Toronto ON
    Event Details:

    OSC LaunchPad: Being a modern regulator in the age of market disruption

    Latest information on C.D. Howe Institute website

  • OSC in the Community (Guelph)

    March 09, 2017 @ 11:30 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Guelph)

    OSC staff will be at the Retire in Style event to talk about fraud prevention. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: March 09, 2017
    Time: 11:30 AM - 1:00 PM
    Location: Evergreen Seniors Community Centre, 683 Woolwich Street, Guelph
    Event Details:

    OSC staff will be at the Retire in Style event to talk about fraud prevention. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

  • OSC in the Community (teletownhall)

    March 02, 2017 @ 6:30 PM - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about spotting some common scams and to ask OSC experts your fraud-related questions, register to participate.

    Date: March 02, 2017
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Fraud Prevention Month and will focus on recognizing and preventing different types of investment fraud. To learn more about spotting some common scams and to ask OSC experts your fraud-related questions, register to participate.

  • Canadian Crowdfinance Summit

    February 28, 2017

    Other

    Canadian Crowdfinance Summit

    The OSC LaunchPad team will be speaking at the 3rd annual Canadian Crowdfinance Summit presented by the National Crowdfunding Association of Canada.

    Date: February 28, 2017
    Time: -
    Location: Multiple Locations
    Event Details:
    February 28, 2017
    1:30 pm – 7:30 pm
    OneEleven
    325 Front St. W., Toronto, Ontario


    March 1, 2017
    7:30 am – 7:30 pm
    MaRS Discovery District
    101 College St., Toronto, Ontario


    The OSC LaunchPad team will be speaking at the 3rd annual Canadian Crowdfinance Summit presented by the National Crowdfunding Association of Canada. More
  • CSA Cyber Security Roundtable

    February 27, 2017 @ 9:30 AM - 3:15 PM

    Other

    CSA Cyber Security Roundtable

    The Canadian Securities Administrators (CSA) announced today that it will hold a roundtable to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security incident. The roundtable follows the publication of CSA Staff Notice 11-332 Cyber Security, which identifies related issues and opportunities.

    Date: February 27, 2017
    Time: 9:30 AM - 3:15 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The Canadian Securities Administrators (CSA) announced today that it will hold a roundtable to discuss issues related to cyber security and opportunities for greater collaboration, communication and coordination in the event of a cyber security incident. The roundtable follows the publication of CSA Staff Notice 11-332 Cyber Security, which identifies related issues and opportunities.

    Roundtable participants have been selected to reflect a diversity of roles and views, and include marketplaces, clearing agencies, registrants, reporting issuers, regulatory bodies and cybersecurity experts.

    Although the CSA roundtable will not be open to the public, the CSA intends to issue a summary of the themes discussed.

    Agenda


    1. Participant Sign-in (9:00 – 9:30 am)

    2. Introduction and Opening Remarks by OSC Executive Director (9:30 – 9:40 am)

    3. Cybersecurity Presentation and Overview of Roundtable (9:40 – 10:10 am)

    4. Scenario 1: Discussion in Smaller Groups (10:10 – 10:55 am)

    Coffee Break (10:55 –11:15 am)

    5. Scenario 1: Discussion in Larger Group (11:15 – 12:15 pm)

    Lunch (12:15 –1:15 pm)

    6. Scenario 2: Discussion in Smaller Groups (1:15 – 2:00 pm)

    7. Scenario 2: Discussion in Larger Group (2:00 – 3:00 pm)

    8. Concluding Remarks by Chair of CSA Cybersecurity Working Group (3:00 – 3:15 pm)

  • CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session B: In-Person)

    February 23, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session B: In-Person)

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance...

    Date: February 23, 2017
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members, which sets out regulatory expectations for portfolio managers (PMs) with PMDSAs, including for books and records, agreements, disclosure and client reporting.

  • OSC in the Community (Belleville)

    February 23, 2017 @ 10:00 AM - 10:40 AM

    OSC in the Community

    OSC in the Community (Belleville)

    OSC staff will be speaking to members of the Probus Club of Belleville. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: February 23, 2017
    Time: 10:00 AM - 10:40 AM
    Location: Pentecostal Church, 490 Dundas Street West, Belleville
    Event Details:

    OSC staff will be speaking to members of the Probus Club of Belleville. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • Navigating Insider Reporting and SEDI

    February 22, 2017 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Navigating Insider Reporting and SEDI
    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Date: February 22, 2017
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    This seminar will review insider reporting obligations for reporting issuers and their insiders under National Instrument 55-104 Insider Reporting Requirements and Exemptions (NI 55-104). OSC staff will also provide a walk through on how to submit insider filings electronically on SEDI (System for Electronic Disclosure by Insiders) and discuss common filing errors and provide tips on how to avoid them.

    Who should attend:

    • Reporting insiders and individuals responsible for the preparation, review and filing of insider reports.

    Why You Should Attend:

    • To learn more about the requirements of NI 55-104 and National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI).
    • To understand the common issues noted by OSC staff when reviewing insider reports.
    • To gain a better understanding of SEDI and how to navigate the system.

    A link to an archived replay of the webinar will be available here after the conclusion of the session.

    Material

  • CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session A: Webinar)

    February 21, 2017 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    CRM2 Reporting to Clients and Portfolio Manager - IIROC Dealer Member Service Arrangements (PMDSAs) (Session A: Webinar)

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers...

    Date: February 21, 2017
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    This seminar will provide an overview of client relationship model phase 2 (CRM2) requirements and focus specifically on client statements, the Report on Charges and Other Compensation, and the Investment Performance Report. The session will also cover CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members, which sets out regulatory expectations for portfolio managers (PMs) with PMDSAs, including for books and records, agreements, disclosure and client reporting.

  • OSC LaunchPad Chief Pat Chaukos Speaks at the #FinTechCan Workshop

    February 21, 2017 @ 9:00 AM - 4:15 PM

    Other

    OSC LaunchPad Chief Pat Chaukos Speaks at the #FinTechCan Workshop

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Competition Bureau's #FinTechCan Workshop on February 21.

    Date: February 21, 2017
    Time: 9:00 AM - 4:15 PM
    Location: Shaw Centre, Ottawa
    Event Details:

    OSC LaunchPad Chief Pat Chaukos will be speaking at the Competition Bureau's #FinTechCan Workshop on February 21. More information

  • OSC in the Community (Courtice)

    February 21, 2017 @ 2:30 PM - 3:30 PM

    OSC in the Community

    OSC in the Community (Courtice)

    OSC staff will be speaking about fraud prevention, working with an advisor and where to find unbiased information. Register for this free Protect Your Money presentation. See attached flyer for more information.

    Date: February 21, 2017
    Time: 2:30 PM - 3:30 PM
    Location: Courtice Community Complex, 2950 Courtice Road North, Courtice
    Event Details:

    OSC staff will be speaking about fraud prevention, working with an advisor and where to find unbiased information. Register for this free Protect Your Money presentation. See attached flyer for more information.

  • OSC in the Community (Chatham)

    February 17, 2017 @ 9:00 AM - 1:00 PM

    OSC in the Community

    OSC in the Community (Chatham)

    The OSC will have an exhibit table and also give a presentation at the 7th Annual Seniors Resource Fair, Connect, in Chatham. Drop by the exhibit table to speak with OSC representative. Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest.

    Date: February 17, 2017
    Time: 9:00 AM - 1:00 PM
    Location: Active Lifestyle Centre, Dance Room, 20 Merritt Avenue, Chatham
    Event Details:

    The OSC will have an exhibit table and also give a presentation at the 7th Annual Seniors Resource Fair, Connect, in Chatham.  Drop by the exhibit table to speak with OSC representative.  Attend the Protect Your Money presentation to learn how to spot the red flags of investment fraud, common types of fraud and what questions to ask before you invest. 

     

  • OSC in the Community (Hamilton)

    February 15, 2017 @ 12:00 PM - 2:00 PM

    OSC in the Community

    OSC in the Community (Hamilton)

    OSC staff will be speaking to members of the Carpenters Local 18 Retirees Social Club about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: February 15, 2017
    Time: 12:00 PM - 2:00 PM
    Location: Carpenters Local 18 Retirees Social Club, Hamilton
    Event Details:

    OSC staff will be speaking to members of the Carpenters Local 18 Retirees Social Club about investment fraud and client advisor relationship. The Protect Your Money presentation will help members learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Kitchener)

    February 01, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Kitchener)

    OSC staff will be speaking at the Downtown Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, how to work with an advisor and how to make more informed financial decisions.

    Date: February 01, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Downtown Community Centre, 35-B Weber St. W., Kitchener
    Event Details:

    OSC staff will be speaking at the Downtown Community Centre. The Protect Your Money presentation will help community members learn how to protect themselves from investment fraud, how to work with an advisor and how to make more informed financial decisions.

  • Whistleblower Chief Heidi Franken speaks at Rotman School of Management

    January 26, 2017 @ 9:00 AM - 12:00 PM

    Other

    Whistleblower Chief Heidi Franken speaks at Rotman School of Management

    Please join the Capital Markets Institute on January 26, 2017 for a panel discussion on Rewarding Corporate Whistleblowers: Will this Improve Canadian Capital Markets? The event will feature Heidi Franken, Chief, Office of the Whistleblower, Ontario Securities Commission, insights from current research on the US whistleblowing experience from Andrew Call, Associate Professor...

    Date: January 26, 2017
    Time: 9:00 AM - 12:00 PM
    Location: Desautels Hall (Second Floor, South Building) | map Rotman School of Management, U of Toronto, 105 St George Street
    Event Details:

    Please join the Capital Markets Institute on January 26, 2017 for a panel discussion on Rewarding Corporate Whistleblowers: Will this Improve Canadian Capital Markets? The event will feature Heidi Franken, Chief, Office of the Whistleblower, Ontario Securities Commission, insights from current research on the US whistleblowing experience from Andrew Call, Associate Professor, W. P. Carey School of Business, Arizona State University, and opening comments from Alexander Dyck, Manulife Financial Chair in Financial Services, Rotman School of Management and Director, Capital Markets Institute. To explore implications for Canadian capital markets, a panel discussion will follow featuring Peter Dent, Partner, Deloitte Canada and Past Chair & President, Transparency International Canada, Stephen Kohn, a leading US lawyer and expert on whistleblowing and Executive Director of the National Whistleblower Center (US), in addition to the speakers.

    Register Now

  • Financing Options for SMEs: Tips and Tools for Raising Money in the Public and Private Markets

    January 25, 2017 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Financing Options for SMEs: Tips and Tools for Raising Money in the Public and Private Markets
    The seminar will discuss the differences between raising money in the public market versus the exempt market. On the exempt market side, we will discuss five capital raising prospectus exemptions that have been created or revised to address the capital raising needs of small to medium sized enterprises at different stages of development. We will also discuss tips for completing and filing the new Form 45-106F1 Report of Exempt Distribution which came into force on June 30, 2016. On the public side, we will examine the requirements for when you become a public company, the roles of the parties involved in the offering process, and the ongoing requirements following your IPO.

    Date: January 25, 2017
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    The seminar will discuss the differences between raising money in the public market versus the exempt market. On the exempt market side, we will discuss five capital raising prospectus exemptions that have been created or revised to address the capital raising needs of small to medium sized enterprises at different stages of development. We will also discuss tips for completing and filing the new Form 45-106F1 Report of Exempt Distribution which came into force on June 30, 2016. On the public side, we will examine the requirements for when you become a public company, the roles of the parties involved in the offering process, and the ongoing requirements following your IPO.

    Who should attend:

    • CEOs and CFOs
    • Directors
    • Legal counsel and other advisors

    Why You Should Attend:

    • To learn about the options available for raising money in Ontario's public and private markets, and the new prospectus exemptions available
    • To obtain guidance on the specific process and requirements for raising capital
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    A link to an archived replay of the webinar will be available here after the conclusion of the session.

    Presentation slides:

  • Financial Reporting Insights and Updates

    January 12, 2017 @ 12:30 PM - 1:30 PM

    Other

    Financial Reporting Insights and Updates

    OSC staff, in partnership with CPA Canada, will be delivering a one-hour webinar that explores a range of financial reporting topics.

    Date: January 12, 2017
    Time: 12:30 PM - 1:30 PM
    Location: Webinar
    Event Details:

    OSC staff, in partnership with CPA Canada, will be delivering a one-hour webinar that explores a range of financial reporting topics. These include:

    • Non-GAAP financial measures
    • Disclosure of fair value measurements
    • Disclosure effectiveness
    • Effective implementation of IFRS 9, IFRS 15 and IFRS 16
    • The role of the audit committee
    • Recent regulatory bulletins and notices

    This webinar is designed to help management, audit committees and auditors stay current on today's financial reporting hot topics.

    Register Now

  • OSC in the Community (Ajax)

    January 03, 2017 @ 9:30 AM - 11:00 AM

    OSC in the Community

    OSC in the Community (Ajax)

    OSC staff will be speaking to members of the Ajax Friendship Club about investment fraud prevention and how to make more informed financial decisions. The Protect Your Money presentation will help club members to recognize the red flags of investment fraud, know what questions to ask before investing and know where to find unbiased financial information.

    Date: January 03, 2017
    Time: 9:30 AM - 11:00 AM
    Location: Ajax Friendship Club, 46 Exeter Road, Ajax
    Event Details: OSC staff will be speaking to members of the Ajax Friendship Club about investment fraud prevention and how to make more informed financial decisions. The Protect Your Money presentation will help club members to recognize the red flags of investment fraud, know what questions to ask before investing and know where to find unbiased financial information.
  • Continuous Disclosure: Hot Topics and More

    December 14, 2016 @ 1:30 PM - 3:30 PM

    SME Institute Seminars

    Continuous Disclosure: Hot Topics and More

    The seminar will include the review of obligations under NI 51-102, including various MD&A observations, with a focus on non-GAAP financial measures. The seminar will also cover other continuous disclosure requirements, including executive compensation, disclosure standards under NP 51-201, administrative procedures (including MCTO/CTO), and will highlight upcoming trends and other relevant topics.

    Date: December 14, 2016
    Time: 1:30 PM - 3:30 PM
    Location: Webinar
    Event Details:

    The seminar will include the review of obligations under NI 51-102, including various MD&A observations, with a focus on non-GAAP financial measures. The seminar will also cover other continuous disclosure requirements, including executive compensation, disclosure standards under NP 51-201, administrative procedures (including MCTO/CTO), and will highlight upcoming trends and other relevant topics.

    Who should attend:

    • CFOs
    • Preparers of financial statements and MD&A
    • In-house or external legal counsel
    • Advisors to companies

    Why You Should Attend:

    • To understand important ongoing securities requirements in order to prepare quality CD documents
    • To be aware of common filing deficiencies so you can avoid them
    • To hear directly from OSC staff of best practices for working with the OSC on ongoing filing issues
    • Private companies considering going public would also find it helpful to learn about the ongoing requirements when you become a public company

    Presentation slides:

  • CSA Roundtable on Proposed Best Interest and Targeted Reforms

    December 06, 2016

    Other

    CSA Roundtable on Proposed Best Interest and Targeted Reforms
    Roundtable on CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward Their Clients. The roundtable will feature two stakeholder panel discussions: one on the proposed best interest standard and the other on the proposed targeted reforms, and will focus on key themes emerging from the comment letters.

    Date: December 06, 2016
    Time: 1:00 PM - 4:30 PM
    Location: OSC, 22nd Floor, Training Room, 20th Queen St W, Toronto ON M5H 3S8
    Event Details: Roundtable on CSA Consultation Paper 33-404 - Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward Their Clients. The roundtable will feature two stakeholder panel discussions: one on the proposed best interest standard and the other on the proposed targeted reforms, and will focus on key themes emerging from the comment letters.

    Transcript


    Agenda

    Time

    Topic

    Panellists

    12:30 – 1:00 p.m.

    Arrival/Check-in

    1:00 – 1:15 p.m.

    Introduction and Opening Remarks (Audio)

    Maureen Jensen
    (OSC Chair)

    Monica Kowal
    (OSC Vice-Chair)

    1:15 – 2:45 p.m.

    Panel 1: Proposed regulatory best interest standard (Audio)

    Monica Kowal - Moderator
    (OSC Vice-Chair)

    Randy Cass
    (Nest Wealth Asset Management Inc.)

    Lawrence Haber
    (Corporate director and former industry executive)

    Margaret McNee
    (McMillan LLP)

    Ursula Menke
    (Investor Advisory Panel)

    Peter Moulson
    (Wealth Management Compliance, CIBC)

    Ian Russell
    (Investment Industry Association of Canada)

    2:45 – 3:00 p.m.

    Break

    3:00 – 4:25 p.m.

    Panel 2: Proposed targeted reforms (Audio)

    Grant Vingoe - Moderator
    (OSC Vice-Chair)

    Eric Adelson
    (Invesco Canada Ltd.)

    Paul Bourque
    (Investment Funds Institute of Canada)

    Rosemary Chan
    (Global Wealth Management, Compliance, Scotiabank)

    Gerry Rocchi
    (Corporate director and former industry executive)

    Ellen Roseman
    (Canadian Foundation for Advancement of Investor Rights (FAIR Canada) and Journalist)

    Prema Thiele
    (Borden Ladner Gervais LLP)

    4:25 – 4:30 p.m.

    Closing (Audio)

    Debra Foubert
    (Director, Compliance and Registrant Regulation, OSC)


  • OSC in the Community (Brampton)

    December 01, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: December 01, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 245 Queen St. W., Unit 2, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Malton)

    November 30, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Malton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 30, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 7380 Airport Road, Malton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • Mining Disclosure Essentials: Keep Calm and Avoid the Ditch

    November 30, 2016 @ 1:30 PM - 3:00 PM

    SME Institute Seminars

    Mining Disclosure Essentials: Keep Calm and Avoid the Ditch

    This seminar is designed to provide mining issuers with the essential “rules of the road” to keep their public reporting on track and in compliance with the requirements of NI 43-101 and NI 51-102. Participants will have the opportunity to hear directly from the regulator about common disclosure pitfalls and challenges.

    Date: November 30, 2016
    Time: 1:30 PM - 3:00 PM
    Location: webinar
    Event Details:

    This seminar is designed to provide mining issuers with the essential “rules of the road” to keep their public reporting on track and in compliance with the requirements of NI 43-101 and NI 51-102. Participants will have the opportunity to hear directly from the regulator about common disclosure pitfalls and challenges.

    Topics covered will include:

    • Fundamental concepts
    • Disclosure from exploration to production
    • Technical reports and common pitfalls
    • Website disclosure hazards

    Who should attend:

    • CEOs or CFOs
    • Qualified persons
    • Investor relation individuals
    • Legal counsel   

    Why You Should Attend:

    • To learn more about NI 43-101 from OSC mining experts
    • To understand what OSC staff look for when reviewing technical and M&DA disclosure
    • To improve technical disclosures from practical examples

    Presentation slides:

  • OSC in the Community (Markham)

    November 29, 2016 @ 7:00 PM - 8:30 PM

    OSC in the Community

    OSC in the Community (Markham)

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

    Date: November 29, 2016
    Time: 7:00 PM - 8:30 PM
    Location: Markham Public Library, Angus Glen branch, 3990 Major Mackenzie Drive East, Markham
    Event Details:

    Attend the OSC's investor presentation, Protect Your Money to learn about fraud prevention, selecting and working with an advisor and how to make more informed investing decisions.

  • RegHackTO

    November 25, 2016

    Other

    RegHackTO

    Visit the RegHackTO site for details on the location, problem statement, judging criteria, panel of judges and more.

    Date: November 25, 2016
    Time: -
    Location: 220 King Street West, Suite 200, Toronto, ON M5H 1K4
    Event Details:

    5:00 p.m., November 25, 2016 to 3:00 p.m., November 27, 2016

    Visit the RegHackTO site for details on the location, problem statement, judging criteria, panel of judges and more.

  • Communicating with clients in a compliant manner (Session B: In-Person)

    November 24, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Communicating with clients in a compliant manner (Session B: In-Person)

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Date: November 24, 2016
    Time: 2:00 PM - 4:00 PM
    Location: OSC, 22nd Floor, Training Room, 20 Queen Street West, Toronto, Ontario M5H 3S8
    Event Details:

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.


    Who should Attend:
    • Chief compliance officers and ultimate designated persons.
    • Compliance staff or individuals who review marketing materials or other client communication documents.

    Benefits:

    Gain insight into expectations on client communications.


    Documents:

    Slides: Communicating with Clients in a Compliant Manner

  • OSC in the Community (teletownhall)

    @ - 7:30 PM

    OSC in the Community

    OSC in the Community (teletownhall)

    The OSC Investor Office’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). If you would like to be called on Wednesday, November 23 at 6:30 to participate in the upcoming teletownhall, please complete the online registration.

    Date: November 23, 2016
    Time: 6:30 PM - 7:30 PM
    Location:
    Event Details:

    The OSC Investor Office’s teletownhalls are a way for the Investor Office to connect with thousands of Ontarians at a time. Teletownhalls work much like a call-in radio show where OSC staff provide information, answer questions and conduct live polls over the course of one hour. Our upcoming teletownhall is being held as part of Financial Literacy Month, with special guests from the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA). If you would like to be called on Wednesday, November 23 at 6:30 to participate in the upcoming teletownhall, please complete the online registration.

  • Communicating with clients in a compliant manner (Session A: Webinar)

    November 22, 2016 @ 2:00 PM - 4:00 PM

    Registrant Outreach Seminars

    Communicating with clients in a compliant manner (Session A: Webinar)

    The seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Date: November 22, 2016
    Time: 2:00 PM - 4:00 PM
    Location: Online webinar
    Event Details:

    https://www.youtube.com/watch?v=va_9oyinGRs&feature=youtu.beThe seminar will focus on how to communicate with clients in a compliant manner. Key client communications covered will include: marketing, client agreements, know your client documentation, relationship disclosure information and client account statements. To assist firms with the documents they prepare to communicate with their clients, we will provide examples to illustrate acceptable practices and common deficiencies with these types of documents.

    Who should Attend:

    • Chief compliance officers and ultimate designated persons.
    • Compliance staff or individuals who review marketing materials or other client communication documents.

    Benefits:

    Gain insight into expectations on client communications.


    Documents:

    Webinar - Communicating with Clients in a Compliant Manner

  • Roundtable on Proposed Protocols for Meeting Vote Reconciliation

    November 18, 2016 @ 8:30 AM - 11:00 AM

    Other

    Roundtable on Proposed Protocols for Meeting Vote Reconciliation

    Roundtable to discuss issues identified during consultation on CSA Multilateral Staff Notice 54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols and next steps in implementing the proposed protocols. The proposed protocols outline roles and responsibilities and provide detailed guidance on operational processes for the key entities that implement meeting vote reconciliation.

    Date: November 18, 2016
    Time: 8:30 AM - 11:00 AM
    Location: OSC, 22nd Floor, Training Room, 20 Queen St W, Toronto ON M5H 3S8
    Event Details:

    Roundtable to discuss issues identified during consultation on CSA Multilateral Staff Notice 54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols and next steps in implementing the proposed protocols. The proposed protocols outline roles and responsibilities and provide detailed guidance on operational processes for the key entities that implement meeting vote reconciliation.

    Any interested parties who wish to attend the event are asked to send an email with full contact details to proxyvotingreview@osc.gov.on.ca. Space is limited. It is expected that a transcript will be posted on the OSC’s website following completion of the roundtable.

    Transcript

    Agenda

    Time

    Activity

    Panellists

    8:00 a.m. – 8:30 a.m.

    Arrival/Check-in

    8:30 a.m. – 9:00 a.m.

    Introduction and Opening Remarks

    Monica Kowal (OSC Vice-Chair)
    Winnie Sanjoto (Manager, Corporate Finance, OSC)
    Penny Rice (Shorecrest Group Ltd.)

    9:00 a.m. – 9:45 a.m.

    Topic 1: Implementing the Protocols and Measuring Short-term Progress

    Josh Bezonsky (OMERS)
    Lara Donaldson (Securities Transfer Association of Canada)
    Frederic Duguay (Hansell LLP)
    Judy Foster (Scotiabank)
    David Masse (Governance Professionals of Canada)
    Penny Rice (Shorecrest Group Ltd.)
    Jeri Trotter (Broadridge)

    9:45 a.m. – 10:00 a.m.

    Break

    10:00 a.m. – 10:55 a.m.

    Topic 2: Exploring a Longer Term Strategy for the Proxy Voting Infrastructure

    10:55 a.m. – 11:00 a.m.

    Closing Remarks


  • OSC in the Community (Kitchener)

    November 17, 2016 @ 1:00 PM - 1:30 PM

    OSC in the Community

    OSC in the Community (Kitchener)

    OSC staff will be speaking to Unifor Local 1451 retirees about fraud prevention. The Protect Your Money presenters will help retirees learn to recognize the red flags of fraud and also hear about some common types of fraud.

    Date: November 17, 2016
    Time: 1:00 PM - 1:30 PM
    Location: Unifor Hall, 600 Wabanaki Drive, Kitchener
    Event Details:

    OSC staff will be speaking to Unifor Local 1451 retirees about fraud prevention. The Protect Your Money presenters will help retirees learn to recognize the red flags of fraud and also hear about some common types of fraud.

  • OSC in the Community (Brampton)

    November 08, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 08, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 500 Ray Lawson, South Fletcher Library, Craft Room, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC in the Community (Brampton)

    November 04, 2016 @ 1:30 PM - 2:30 PM

    OSC in the Community

    OSC in the Community (Brampton)

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

    Date: November 04, 2016
    Time: 1:30 PM - 2:30 PM
    Location: 245 Queen St. W., Unit 2, Brampton
    Event Details:

    India Rainbow Community Services of Peel will host a Protect Your Money presentation as part of its seniors wellness program. This presentation will help seniors learn how to recognize frauds and scams, what to do if you suspect a scam and where to find unbiased information.

  • OSC In the Community (Etobicoke)

    November 03, 2016 @ 1:15 PM - 2:30 PM

    OSC in the Community

    OSC In the Community (Etobicoke)

    OSC staff will be speaking at a Seniors luncheon about investment fraud protection. Seniors will learn to recognize the red flags of fraud and also hear about some common types of fraud.

    Date: November 03, 2016
    Time: 1:15 PM - 2:30 PM
    Location: St. James United Church, 400 Burnhamthorpe Rd., Etobicoke
    Event Details:

    OSC staff will be speaking at a Seniors luncheon about investment fraud protection. Seniors will learn to recognize the red flags of fraud and also hear about some common types of fraud.