December 6th, 2018 - Investor Advisory Panel - Agenda

INVESTOR ADVISORY PANEL
MEETING AGENDA


Meeting Date:

Thursday, December 6th, 2018, 9:30 am – 2:30 pm


Location:

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


Members:

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


Invitees:

Tyler Fleming, Director, Investor Office
Maureen Jensen, Chair & CEO
Doug Sarro, Senior Advisor
Caroline Cakebread, IAP Consultant


TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s Remarks

Neil Gross

9:45 – 10:00

2. Investor Office Update

Tyler Fleming

10:00 – 11:00

3. Research Project: Extent of advice being provided to mass market investors

Doug Sarro

11:00 – 11:30

4. OSC Chair’s Update

Maureen Jensen

11:30 – 11:45

Break

11:45 – 12:00

5. CMRA Update

All members

12:00 – 12:30

6. CSA Staff Notice 51-356 Problematic Promotional Activities by Issuers (attachment)

All members

12:30 – 1:00

Lunch

1:00 – 1:15

7. FSRA Fee Rule Consultation

All members

1:15 – 1:30

8. Resolver and OBSI update (attachment)

All members

1:30 – 1:45

9. Exempt Market Report (attachment)

All members

1:45 – 2:00

10. BCSC Annual Compliance Report (attachment)

All members

2:00 – 2:15

11. IIROC Investor Polling (attachment)

All members

2:15 – 2:30

12. Other Business

All members

FUTURE 2019 MEETING DATES:

Thursday, January 17, 2019: 9:30 – 3:00 pm

Thursday, July 18, 2019: 9:30 – 3:00 pm

Thursday, February 21, 2019: 9:30 – 3:00 pm

Thursday, August 15, 2019: 9:30 – 3:00 pm

Thursday, March 21, 2019: 9:30 – 3:00 pm

Thursday, September 19, 2019: 9:30 – 3:00 pm

Thursday, April 18, 2019: 9:30 – 3:00 pm

Thursday, October 17, 2019: 9:30 – 3:00 pm

Thursday, May 16, 2019: 9:30 – 3:00 pm

Thursday, November 21, 2019: 9:30 – 3:00 pm

Thursday, Jun 20, 2019: 9:30 – 3:00 pm

Thursday, December 12, 2019: 9:30 – 3:00 pm