November 16, 2017 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, November 16, 2017, 9:30 am – 3:00 pm


Location:

Ontario Securities Commission, 20 Queen Street West
Commissioners’ Boardroom, 17th Floor


Members:

Letty Dewar (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Pattie Best, Neil Gross, Malcolm Heins, Harvey Naglie, Louise Tardif


Invitees:

Tyler Fleming, Director, Investor Office
Denise Morris, Manager, Policy, Investor Office
Caroline Cakebread, IAP Consultant
Debra Foubert, Director, Compliance and Registrant Regulation
Maye Mouftah, Senior Legal Counsel, Compliance and Registrant Regulation
Erin Seed, Senior Legal Counsel, Compliance and Registrant Regulation
John Mountain, Director, Investment Funds and Structured Products
Naizam Kanji, Director, Office of Mergers and Acquisitions
Marian Passmore, FAIR Canada, Director of Policy and COO

                                               

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Opening remarks (attachment)

Letty Dewar

9:45 – 10:45

2. Targeted Reforms  (see link)

Current status. Fit with Risk Profiling Report & Round Table feed-back looking for common definitions for certain terminology, certain prescribed core questions for the Risk Assessment Questionnaire, proficiency requirements for validation of risk profiling questionnaires. Include discussion on targeted reform responses.

Debra Foubert
Maye Mouftah
Erin Seed

10:45 – 11:00

Break

11:00 – 11:45

3. Panel Discussion (see link)

Risk Profiling/Targeted Reforms KYC and KYP

Neil Gross

11:45 – 12:00

4. OSC Director – Introduction

John Mountain

12:00 – 12:30

Lunch

12:30 – 12:45

5. Investor Office Update

Tyler Fleming
Denise Morris

12:45 – 1:30

6. Panel Discussion (attachment)

Letter to Minister Sousa

All members

1:30 – 2:00

7. OSC Directors – Introduction

Debra Foubert
Naizam Kanji

2:00 – 2:30

8. FAIR Update on Elder Care Report (attachment)

Marian Passmore

2:30 – 3:00

9. Priorities and Other Business (attachment)

Follow up on status of Statutory BI Standard development at Ministerial level

All members

FUTURE MEETINGS:

Thursday, December 14, 2017: 9:30am – 3:00pm

Thursday, January 18, 2018: 9:30am – 3:00pm

2018 MEETING DATES:

Thursday, February 15, 2018: 9:30am – 3:00pm
Thursday, March 15, 2018: 9:30am – 3:00pm
Thursday, April 19, 2018: 9:30am – 3:00pm
Thursday, May 17, 2018: 9:30am – 3:00pm
Thursday, June 21, 2018: 9:30am – 3:00pm
Thursday, July 19, 2018: 9:30am – 3:00pm

Thursday, August 16, 2018: 9:30am – 3:00pm
Thursday, September 13 2018: 9:30am – 3:00pm
Thursday, October 18, 2018: 9:30am – 3:00pm
Thursday, November 15, 2018: 9:30am – 3:00pm
Thursday, December 6, 2018: 9:30am – 3:00pm