December 8, 2011 - Investor Advisory Panel - Agenda


Investor Advisory Panel Meeting
Thursday December 8, 2011
10:00 pm – 12:00 pm
By Teleconference

MEMBERS: Anita Anand, Chair
Nancy Averill
Paul Bates
Stan Buell
Lincoln Caylor
Steven Garmaise
Michael Wissell
INVITEE: Allan Krystie, Senior Administrator (secretary to the meeting)
Chava Schwebel, IAP Research Assistant


1. Introduction from the Chair (Anita Anand)

2. Empirical methods of outreach

3. OSC Staff Notice 15-704 Request for Comments on Proposed Enforcement Initiatives. Initiatives include no-enforcement action agreement, no-contest settlement, self-reporting process and credit for cooperation. Comment period closes on December 20, 2011.

4. CSA Consultation Note concerning minimum amount and accredited investor prospectus exemptions. These exemptions are under review to ensure that they meet the needs of market participants and balance investor protection with the efficiency of capital markets. Comment period closes on February 29, 2012.

5. Any new business and correspondence.