July 18, 2019 - Investor Advisory Panel - Agenda

July 18, 2019

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

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

Members:		Neil Gross (Chair), Jaqueline Allen, Paul Bates, Daniel Brunet, Patti Best, Malcolm Heins, Harvey Naglie, Ilana Singer

Invitees:		Tyler Fleming, Director - OSC Investor Office Daniella Laise, Manager, Policy - OSC Investor Office Mark Gordon, President & CEO – MFDA Karen McGuinness, Senior Vice President, Member Regulation, Compliance – MFDA Shaun Devlin, Senior Vice President, Member Regulation, Enforcement – MFDA Ian Strulovitch, Director Public Affairs – MFDA Paige Ward, General Counsel, Corporate Secretary & Vice President Policy – MFDA Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s Report	Neil Gross
9:45 – 10:00	2. Investor Office Update	Tyler Fleming Daniella Laise
10:00 – 11:30	3. MFDA Update	Mark Gordon Karen McGuinness Shaun Devlin Ian Strulovitch
11:30 – 11:45	4. Proposed Amendment to MFDA Rule 2.3.1(b) (discretionary trading)	Neil Gross
11:45 – 12:15	5. “Too Risky for Retail”	Neil Gross
12:15 – 1:00	LUNCH
1:00 – 1:30	6. Calculation of Trailing Commissions paid to OEO firms	Neil Gross
1:30 – 2:00	7. Other Business	All Members