November 28, 2012 - Investor Advisory Panel - Agenda


Investor Advisory Panel Meeting
Wednesday, November 28, 2012
1:00 pm – 4:00 pm

17th Floor
20 Queen Street West
Toronto, ON

MEMBERS: Paul Bates, Chair
Nancy Averill Stan Buell
Connie Craddock
Steven Garmaise
Alan Goldhar
Ken Kivenko
Cary List
INVITEES: Eleanor Farrell, Director, Office of the Investor
Maureen Jensen, Executive Director
Chris Jepson, Senior Legal Counsel, Compliance and Registrant Regulation
Allan Krystie, Senior Administrator (secretary to the meeting)
Jeff Scanlon, Legal Counsel, Compliance and Registrant Regulation


  1. Introductions and welcome remarks (Paul Bates). 15 minutes
  2. Update from the Office of the Investor (Eleanor Farrell). 15 minutes
  3. Discussion about CSA Consultation Paper 33-403 – Exploring the appropriateness of introducing a statutory best interest duty when advice is provided to retail clients. (Jeff Scanlon) 60 minutes
  4. General IAP activities and procedures (Paul Bates). 30 minutes
  5. Discussion about OBSI (Chris Jepson) 30 minutes
  6. Overview of the IAP/IEF investor deliberative engagement research (Nancy Averill) 15 minutes
  7. Discussion about options for drafting IAP comment letters (Paul Bates). 15 minutes
  8. Other Business (Paul Bates).