November 25, 2011 - Investor Advisory Panel - Agenda


Investor Advisory Panel Meeting
Friday November 25, 2011
10:00 pm – 12:00 pm

22nd Floor Training Room
20 Queen Street West
Toronto, Ontario

MEMBERS: Anita Anand, Chair
Nancy Averill
Paul Bates
Stan Buell
Lincoln Caylor
Steven Garmaise
Michael Wissell
INVITEE: Jean-Paul Bureaud, Senior Advisor, Government and
Regulatory Affairs (item 4)
Mary Condon, OSC Vice-Chair, (item 4)
Allan Krystie, Senior Administrator (secretary to the meeting)
Chava Schwebel, IAP Research Assistant
Susan Silma, Director, Compliance & Registrant Regulation (item 5)

1. Introduction from the Chair (Anita Anand) (10 mins)

2. Empirical methods of outreach (Nancy Averill) (memo circulated on November 21) (30 mins)

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. (Memo from Chava Schwebel to be circulated prior to meeting) (20 mins)

4. Investor perspectives and OBSI (Mary Condon and Jean-Paul Bureaud) (30 mins)

5. Discussion with Susan Silma, Director of Compliance and Registrant Regulation.

6. 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.

7. Any new business, correspondence, upcoming meetings (please bring personal itineraries and calendars for setting January and February meeting dates)

Next Panel Meeting:

Thursday, December 8, 2011 10:00 am – 12:00 pm (by conference call)