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OSC Dialogue 2021: Creating Conditions for Growth

Online | November 23, 2021

#OSCDialogue

OSC Dialogue 2021

The financial community, regulators and policymakers all play a critical role in fostering vibrant capital markets in the aftermath of COVID-19.  As we pull together to make Ontario an even more attractive destination for entrepreneurs, innovators and investors, what challenges and considerations should be front and centre? Amid ongoing regulatory reform, new capital-raising techniques, data-driven innovations and investor demand for yield, how best to support a strong economic recovery for Ontario?

Join us at OSC Dialogue 2021 as financial industry leaders, senior regulators and investors come together in a virtual format to discuss how capital markets can best contribute to sustainable long-term growth at a critical point for our economy. 

Agenda

Time Session
9:00 a.m.

Welcome  

  • Tim Moseley, Vice-Chair, OSC

9:05 a.m.

Opening remarks  

  • Hon. Peter Bethlenfalvy, Minister of Finance, Ontario

9:20 a.m.

Creating Conditions for Growth: A conversation with the Chair and CEO 

Fireside chat 

Tim Kiladze, reporter and columnist, The Globe and Mail, sits down with Grant Vingoe, OSC Chair and CEO, to discuss topical issues impacting the capital markets and his leadership of the OSC at this pivotal time. This wide-ranging discussion will cover the OSC’s expanded mandate, crypto regulation, DIY investing, upcoming regulatory reforms, and efforts by the OSC to support growth through innovation. 

  • Grant Vingoe, Chair and CEO, OSC 

  • Moderated by: Tim Kiladze, Reporter and Columnist, The Globe and Mail

9:55 a.m. Break  
10:10 a.m.

Regulating for a sustainable future 

Panel 

As the effects of climate change intensify and the world aims toward net zero carbon emissions, there is greater urgency than ever to mobilize capital to support the transition to a more sustainable future. Panellists will discuss climate change as a systemic risk, the emergence of global sustainability standards, and efforts underway to enhance climate-related disclosures to provide investors with reliable and comparable data to inform their investment choices. 

  • Geordie Hungerford, CEO, First Nations Financial Management Board 

  • Sarah Keyes, CEO, ESG Global Advisors Inc.  

  • Richard Manley, Managing Director, Head of Sustainable Investing | Global Leadership Team, CPP Investments 

  • Jo-Anne Matear, Manager, Corporate Finance, OSC 

  • Sheldon Mills, Executive Director, Consumers and Competition, Financial Conduct Authority 

  • Moderated by: Wendy Berman, Vice-Chair, OSC 

11:25 a.m. Break
11:40 a.m.

Too Much Information

Luncheon presentation

We have a complicated relationship with information: we can’t get enough of it, but we also can’t seem to get away from it. As a renowned author of many works that explore the principles of behavioural economics, and as one of the world’s leading legal scholars, Cass Sunstein is an expert in this complicated relationship. His presentation will discuss information abundance as it relates to the financial world, capital markets and regulation. He will explore the value of disclosure, the tension between investor protection and administrative burden, and navigating the information and distraction of social media. 

  • Cass R. Sunstein, Robert Walmsley University Professor, Harvard Law School 

  • Intro. and Q&A: Tim Moseley, Vice-Chair, OSC 

12:30 p.m. Lunch break 
1:00 p.m.

Keynote presentation 

Bank of Canada Deputy Governor Paul Beaudry will provide an assessment of how risks to the stability of the Canadian financial system are evolving, including risks stemming from the COVID-19 pandemic.

  • Paul Beaudry, Deputy Governor of the Bank of Canada 

  • Intro. and Q&A: Paul Redman, Director, Regulatory Strategy and Research, and Chief Economist, OSC 

1:45 p.m. Break
2:00 p.m.

Modernizing Canada’s SRO framework 

  • Opening remarks: Stan Magidson, Chair and CEO, Alberta Securities Commission  

Panel 

Work is underway on the transition to a single self-regulatory organization that will better serve investors and the financial industry. Panellists will discuss the new SRO model and how it will address duplication, transparency and enhance oversight of an evolving financial landscape. They will explore the challenges involved in this project, the approach being taken, and the practical implications for investors and the Canadian financial industry. 

  • Patricia Callon, Senior Vice-President and General Counsel, Sun Life 

  • Susan Greenglass, Director, Market Regulation, OSC 

  • Jennifer Newman, Senior Managing Director, Real Estate Operations and Special Projects, Ontario Teachers’ Pension Plan 

  • Michael Thom, Managing Director, CFA Societies Canada 

  • Moderated by: Peter Haynes, Managing Director, TD Securities 

3:15 p.m. Break
3:30 p.m.

A brave new world of retail investing 

Panel 

Retail investor activity in the capital markets has reached unprecedented levels, as do-it-yourself trading becomes easier, cheaper – and riskier. Technology has opened novel channels to reach and influence investors while ushering in new products. The panel will examine the economic, technological, and social forces behind the trends, and what they mean for the future of investing. How is financial advice changing, and what are the implications for industry business models? With an uncertain road ahead, where are regulatory guardrails best placed to protect investors while allowing for innovation and competition to flourish? 

  • Cathie Armour, Commissioner, Australian Securities and Investments Commission  

  • Neil Gross, President, Component Strategies Consulting, and Chair, OSC Investor Advisory Panel 

  • Edward Kholodenko, President and CEO, Questrade 

  • David Lewis, President, BEworks Research Institute 

  • Moderated by: Leslie Byberg, Executive Director, OSC 

4:45 p.m.

Closing remarks 

  • Tim Moseley, Vice-Chair, OSC 

 

Speakers

To view speaker biographies, click "More". 

Dialogue 2021 speaker Hon. Peter Bethlenfalvy
Hon. Peter Bethlenfalvy
Minister of Finance, Ontario

Peter Bethlenfalvy has been serving as Ontario’s Minister of Finance since December 2020. Prior to his role at Finance, he served in Cabinet as President of the Treasury Board between 2018 and 2021. He was elected as MPP for Pickering—Uxbridge in 2018.

Minister Bethlenfalvy is responsible for ensuring Ontario’s long-term fiscal sustainability and providing the fiscal firepower needed to protect the health and wellbeing of Ontarians in the face of COVID-19.

During his time as President of the Treasury Board, he was responsible for the province’s expenditure management efforts, the government’s internal audit work, and was the official employer of the province’s public servants. Minister Bethlenfalvy led the creation of Ontario’s Office of the Comptroller General – the first of its kind in any Canadian province – and is Chair of the Future State Modernization Committee. 

As Minister of Finance, he is responsible for the management of the province’s finances and building the environment for long-term economic prosperity. In the face of COVID-19, Minister Bethlenfalvy is focused on providing the supports Ontario families, workers, and businesses need through the pandemic. As the province charts its long-term recovery, he is working to ensure our health care system, communities and economy are positioned to emerge stronger than ever before.

Photo of Grant Vingoe
Grant Vingoe
Chair and CEO, Ontario Securities Commission

Grant Vingoe is Chair and Chief Executive Officer and Commissioner of the Ontario Securities Commission (OSC), following over four years as Vice-Chair of the OSC. He is also Chair of the Policy Coordination Committee of the Canadian Securities Administrators (CSA), the umbrella organization for securities commissions in Canada, and is a member of the board of directors of the International Organization of Securities Commissions (IOSCO). He is also the Chair of the Joint Regulators Committee responsible for the CSA’s oversight for the Ombudsman for Banking Services and Investments.

Grant is a senior leader and trusted adviser for regulatory agencies and, during his career as a partner in leading global law firms, for issuers and financial services clients. He is a seasoned adjudicator with cross-border expertise and deep knowledge of financial markets.

Grant is a member of the board of Springboard Danse Montreal, a dance education not-for-profit, and is a member of the advisory board of Reach the World, a social studies and geography not-for-profit providing services to primary school children.

Grant holds a J.D. from Toronto’s Osgoode Hall Law School and an LL.M. from the New York University School of Law. He was admitted to the bar in Ontario in 1983 and in New York in 1985.

Dialogue 2021 speaker Cathie Armour
Cathie Armour
Commissioner, Australian Securities and Investments Commission

Cathie Armour is one of the Commissioners of the Australian Securities and Investments Commission ("ASIC").

The Commission is responsible for ASIC's performance as Australia's integrated corporate, financial markets, financial services and consumer credit regulator.

Cathie works closely with the ASIC teams responsible for regulating markets, market intermediaries and the enforcement of laws relating to market integrity and corporate governance. She also focuses on the work of ASIC’s Innovation Hub which supports fintech and regtech activities and on ASIC’s work supporting cyber resilience in our financial system.

Cathie's experience before ASIC was in legal counsel leadership roles in international financial institutions. She began her career in private legal practice and has worked for law firms in Sydney and New York.

Cathie is a Graduate of the Australian Institute of Company Directors. She is also a member of Chief Executive Women.

Dialogue 2021 speaker Paul Beaudry
Paul Beaudry
Deputy Governor of the Bank of Canada

Paul Beaudry became Deputy Governor of the Bank of Canada in 2019. In this role, he oversees the Bank’s financial system activities and shares responsibility for setting monetary policy. Since 2021, he also oversees the Bank’s analysis of international economic developments in support of monetary policy decisions—serving as the Bank’s G7 and G20 Deputy. 

Before coming to the Bank, Mr. Beaudry spent 25 years as a professor at the University of British Columbia. He has also held academic positions at Oxford University, Boston University and Université de Montréal and was a visiting professor at Massachusetts Institute of Technology, Pantheon-Sorbonne University and Université de Toulouse. Mr. Beaudry held a Canada Research Chair in economics from 2000 to 2015 and is a two-time recipient of the Bank of Canada’s Research Fellowship Award.

Born in Montréal, Mr. Beaudry holds a BA in Economics from Laval University, an MA in Economics from the University of British Columbia, and a PhD in Economics from Princeton University.

Photo of Wendy Berman
Wendy Berman
Vice-Chair, Ontario Securities Commission

Wendy Berman is on sabbatical from the law firm of Cassels where she served as the Chair of the Securities Litigation Group. Ms. Berman is one of Canada’s foremost securities litigators with extensive experience in complex commercial and securities-related litigation, often involving parallel and cross-border regulatory, criminal and class action proceedings, and in litigation relating to corporate governance, proxy contests, takeover bids and other mergers and acquisitions.

Ms. Berman is recognized as a leading lawyer by Chambers Canada and the Lexpert Guide to Leading US/Canada Cross-Border Lawyers in Canada, among others. She received the Lexpert Zenith Award honouring leading women lawyers and has been honoured as one of the “Top 25 Canadian Women in Litigation” by Benchmark Litigation on multiple occasions. Ms. Berman is a former member of the Securities Proceedings Advisory Committee, the Board of Directors of The Advocates Society, the Board of Directors of the Canadian Partnership for Stroke Recovery and the Executive Committee of the Women in White Collar Defense Association.

Ms. Berman has an LL.B. from the University of Toronto. She was called to the bar of Ontario in 1992 and the bar of British Columbia in 2015.

Photo of Leslie Byberg
Leslie Byberg
Executive Director, Ontario Securities Commission

Leslie Byberg is the Executive Director of the Ontario Securities Commission. In her role, Ms. Byberg is responsible for coordinating and managing the OSC’s day-to-day regulatory operations, which include compliance and oversight of registrants, issuers, investment funds, and market structure and regulated entities; enforcement; investor outreach and policy; innovation and modernization; and regulatory strategy and research.

Since 2003, Ms. Byberg has held several executive positions at the OSC, most recently serving as Executive Director and CAO from 2016 to 2019, during which she was responsible for overseeing all of the OSC’s regulatory and corporate operations. Prior to that, she was the Director of the OSC’s Strategy and Operations Branch, overseeing the OSC’s business planning, policy prioritization and risk management processes. Ms. Byberg also served as the Director of Corporate Finance and Director of Investment Funds (now Investment Funds and Structured Products).

Prior to joining the OSC, Ms. Byberg was Senior Counsel, Regulation at the Investment Funds Institute of Canada. Ms. Byberg also worked as an associate lawyer at two Toronto law firms with a practice specializing in investment funds.

Dialogue 2021 speaker Patricia Callon
Patricia Callon
Senior Vice-President and General Counsel, Sun Life

Trish is a member of the Canadian Executive Team and leads the team of professionals that provides strategic and proactive legal solutions for Sun Life’s Canadian and asset management businesses.

Her legal and executive experience spans private practice, in-house and regulatory roles across all major financial services sectors. Her career began at Blake Cassels & Graydon, LLP followed by in-house roles at Sun Life and Seaboard Life (now part of Industrial Alliance). She joined CIBC in 1998 where she rose to Vice-President and Associate General Counsel, Wealth Management and in 2005 moved to the Ontario Securities Commission where she led policy development for mutual fund disclosure. From 2009 to 2014, Trish was Chief Legal Officer and Director, Stakeholder Outreach and Communications at the Canadian Securities Transition Office, the organization that led the work to create a new Canadian securities regulator.

She is Vice Chair of the board and Chair of the Special Committee for SRO Framework Review of the Mutual Fund Dealers Association of Canada and has served on several corporate and community boards, including Meridian Credit Union, Toronto Hydro Corporation and Women General Counsel Canada.

An ally for diversity, equity and inclusion, she is a member of the Executive Committee of Legal Leaders for Diversity, a member of Sun Life’s Canadian Allies Acting for Change and mentor to many within Sun Life and the legal community.

Trish is a two time recipient of the Canada’s Most Powerful Women: Top 100 award in the Corporate Directors (2013) and Executive Leaders (2020) categories.

Dialogue 2021 speaker Susan Greenglass
Susan Greenglass
Director, Market Regulation, Ontario Securities Commission

The Market Regulation Branch is a regulatory branch responsible for regulating market infrastructure entities in Ontario, such as exchanges, alternative trading systems (ATS), self-regulatory organizations (SRO) and clearing agencies. The branch also develops policy relating to market structure, clearing and settlement and fixed income.

Susan Greenglass is the Director of the Market Regulation Branch at the Ontario Securities Commission. She has held several progressively senior roles with the OSC and has been in the Market Regulation Branch since it was created in 1998, playing key roles in the development of policy and oversight initiatives relating to market structure, clearing and settlement and SROs.

Susan also chairs the OSC’s Market Structure Advisory Committee and the CSA’s SRO Oversight Standing Committee.

Prior to joining the OSC in 1997, Susan was a law clerk at the Ontario Court of Justice (General Division). She is a graduate of Osgoode Hall Law School and is a member of the Ontario Bar.

Dialogue 2021 speaker Neil Gross
Neil Gross
President, Component Strategies Consulting, and Chair, OSC Investor Advisory Panel

Neil Gross is a Toronto-based capital markets policy consultant. He chairs the Ontario Securities Commission’s Investor Advisory Panel and also serves on the Mortgage Brokering Technical Advisory Committee at Ontario’s Financial Services Regulatory Authority (FSRA) and the arbitration working group at the Investment Industry Regulatory Organization of Canada (IIROC). In addition, Neil is a director of the Canadian Foundation for Advancement of Investor Rights (FAIR Canada), a director of Croft Financial Group, and a member of the independent review committee for Accelerate Financial Technologies Inc.

Previously, Neil enjoyed a 30-year career as a lawyer litigating investor loss claims and regulatory enforcement cases. He then served as executive director of FAIR Canada while concurrently appointed to the OSC’s Exempt Market Advisory Committee and Seniors Expert Advisory Committee. Now, as a periodic columnist for The Globe and Mail, he draws on those experiences to explore the social impact of financial regulation.

In the volunteer sector, Neil is a director of Family Councils Ontario – a public charity dedicated to supporting family advocacy for residents of nursing homes and long-term care facilities across the province. He also is a Fellow of the public policy advocacy organization CanAge, and a member of the selection panel for the Portfolio Management Association of Canada annual awards of excellence in investment journalism.

Dialogue 2021 speaker Peter Haynes
Peter Haynes
Managing Director, TD Securities

Peter Haynes joined TD Securities (TDSI) in June, 1995. Currently, Peter heads up TDSI’s Index Products team, a top ranked group responsible for index and market structure research. In addition, Peter handles relationship management for a few key Ontario-based institutional investors, and manages TD Securities Client Relations Committee. Previously at TDSI, Peter was responsible for equity derivatives sales and portfolio trading.

Prior to joining TDSI, Peter worked for one year in Montreal with Credit Lyonnais Canada, marketing global equity derivatives to Canadian investors. Before Credit Lyonnais, Peter started his career at the Toronto Stock Exchange, spending 6 years in their index and derivatives marketing department, involved in both retail and institutional efforts to develop the listed Canadian index products and equity derivatives business.

He graduated from the University of Western Ontario in 1989 with a Bachelor of Arts in Economics. Peter is a member of S&P’s US, Canadian and Global Index Advisory Panels.

 

Dialogue 2021 speaker Georgie Hungerford
Geordie Hungerford
CEO, First Nations Financial Management Board

Geordie is of British and Gwich’in (Northwest Territories and Yukon modern agreement) ancestry. He is the Chief Executive Officer (CEO) of the First Nations Financial Management Board (FMB), one of three fiscal institutions created under the First Nations Fiscal Management Act.

The FMB assists First Nations in developing and by certifying their administrative and financial management capacity, and in developing their financial relationships with business and government to enable their economic and social development.

Geordie brings deep experience in finance and financial law, with experience as a senior investment products securities lawyer at the British Columbia Securities Commission, financial tribunal Chair and CEO at the Financial Services Tribunal (BC), management consultant at McKinsey & Company and mergers and acquisitions investment banker at Broadview (now Jefferies).

He has also practised Aboriginal and corporate law at a national law firm, driven economic development initiatives for the Gwich’in Nation, and represented the Gwich’in Nation in international Arctic economic development forums at the Arctic Economic Council and Arctic Council. He has initiated and led Indigenous mentoring, networking, Reconciliation and UNDRIP policy development initiatives at the Canadian Bar Association, BC and National.

Geordie holds an MBA from the Stanford Graduate School of Business and an MA (East Asian Studies/Chinese) from Stanford University, a law degree from the University of British Columbia, and an electrical and computer engineering degree from Queen’s University. He is fluent in Mandarin Chinese, having studied for a year at Tsinghua University in Beijing, China. Geordie is a CFA Charterholder, CAIA Charterholder and an Action Canada Fellow.

Dialogue 2021 speaker Sarah Keyes
Sarah Keyes
CEO, ESG Global Advisors Inc.

Sarah leads ESG Global Advisors and she is a climate change expert. She has over a decade of work experience as a thought leader, consultant, and auditor. Sarah conducts climate change materiality assessments, conducts climate change scenario analysis, and works with her clients to set ambitious and achievable climate change targets, and develops implementation roadmaps. She regularly presents to Boards of directors on climate change and ESG factors and implications for corporate governance and oversight, and the link with financial and operational performance and long-term value.

Prior to joining ESG Global Advisors, Sarah was a Principal at CPA Canada where she produced research, thought leadership and guidance for companies to integrate climate change considerations into business strategy, risk management, governance, and reporting. Prior to CPA Canada, Sarah held senior roles at PwC and MNP working with the energy and mining sectors.​

She is a member of the Institute for Corporate Directors (ICD) Climate Strategy Advisory Board for the Canadian Chapter of the WEF Climate Governance Initiative and National Academic Director for the ICD’s Climate Governance Program for Directors. Sarah sits on the Board of Directors of Leading Change and Sustainable Buildings Canada. She has a Bachelor of Commerce from McGill University, ISO 14064-3 Certification for Greenhouse Gas Verifications, and received the 2018 Emerging Leader Award from CPA Ontario.

Dialogue 2021 speaker Edward Kholodenko
Edward Kholodenko
President and CEO, Questrade

Edward Kholodenko, is the founder, President & CEO of Questrade Financial Group as well as President & CEO of Community Trust Company since 2019.  In addition, Edward serves on the Board of Directors of Questrade Financial Group, Questrade, Inc., QuestWealth Management Inc. and Community Trust Company.

Edward founded Questrade in 1999, and now after 21 years, proudly leads a team of over 1000 professionals dedicated to helping Canadians and their families be more financially successful.

Questrade’s vision is to help transform Canadian financial services with outstanding and innovative online financial services that help Canadians keep more of their money. By focusing on delivering on a “we care deeply about the financial success and security of Canadians” mission, Questrade has become the fastest growing and #1 ranked online brokerage in Canada and an emerging leader in both robo advisor portfolios and, more recently, mortgages.

Under Edward's leadership, Questrade has been named one of Canada’s Best Managed Companies ten years in a row, rated #1 in Investor Satisfaction by JD Power, chosen Canada’s Best Online Brokerage by Moneysense, earned the Dalbar Seal of Excellence for customer service, and also been selected one of Canada’s Top Small & Medium Employers and Most Admired Cultures.

By focusing on the core values of innovation, curiosity, team work, entrepreneurialism, customer centricity, honesty and transparency, business growth has accelerated in recent years to over $40 Billion in assets under administration across the enterprise.  

Edward has been recognized throughout his career as a respected leader in financial services and was chosen Entrepreneur of the Year by E&Y in the Services category for Ontario.

In addition to his business leadership, Edward is very active in numerous charitable and philanthropic efforts including local community food banks. Questrade has become a major contributor to Food Banks of Canada donating over one million meals and also supports Junior Achievement in promoting financial literacy among Canadian students.  

Edward is a graduate of the University of Western Ontario and he and his wife, Inna, are the proud parents of five children.

Dialogue 2021 speaker Tim Kiladze
Tim Kiladze
Reporter and Columnist, The Globe and Mail

Tim Kiladze is a reporter and columnist for The Globe and Mail. Previously he worked in equity capital markets at National Bank Financial, and in fixed-income sales and trading at RBC Dominion Securities. 

Tim graduated from Columbia University's Graduate School of Journalism and also earned a Bachelor of Commerce in finance from McGill University. 

Dialogue 2021 speaker David Lewis
David Lewis
President, BEworks Research Institute

David Lewis is President of the BEworks Research Institute where he works on advancing behavioural science knowledge to support leaders in business, government, and society in making evidence-based decisions.

Prior to joining BEworks, David was an Assistant Professor at the Ted Rogers School of Retail Management at Ryerson University.

David holds a PhD in marketing, specializing in consumer behaviour, from the Lazaridis School of Business and Economics at Wilfrid Laurier University. David also holds an MBA in strategy and finance from the Schulich School of Business at York University.

In addition to academic credentials, David is also a Chartered Financial Analyst. David has held numerous senior positions in the financial services industry, including Chief Marketing Officer and Chief Information Technology Officer at ING DIRECT USA, Head of Banking at Barclays Wealth USA, Head of Banking Products at UBS Financial Services USA, and Board Chair at UBS Bank USA.

David also serves as a board member on a number of boards for financial services companies in Canada. David was named one of the top 50 marketers in the US by Ad Age magazine.

Dialogue 2021 speaker Stan Magidson
Stan Magidson
Chair and CEO, Alberta Securities Commission

Mr. Magidson is Chair and Chief Executive Officer (CEO) of the Alberta Securities Commission and possesses extensive experience in corporate governance and securities law and regulation.  Before joining the ASC in July 2016, he was President, CEO and director of the Institute of Corporate Directors and Chair of the Global Network of Director Institutes. Prior, Mr. Magidson was a partner for 21 years with a national law firm in the business law group where he advised corporate issuers, investors, financial intermediaries and boards of directors across the country on securities law, corporate finance, mergers and acquisitions and corporate governance matters.

Mr. Magidson currently serves on the international board of the Weizmann Institute of Science and the board of Weizmann Canada.

Mr. Magidson holds an LL.M in Corporate Law from New York University and an LL.B from the University of Ottawa.

Dialogue 2021 speaker Richard Manley
Richard Manley
Managing Director, Head of Sustainable Investing | Global Leadership Team, CPP Investments

Richard leads the team responsible for integrating consideration of environmental, social and governance, including climate risks and opportunities across our investment programs.

Prior to joining CPP Investments in 2019, Richard spent 18 years at Goldman Sachs, where he was most recently Global Head of Thematic Equity and ESG Research, and Co-Head of EMEA Equity Research. Previously, he worked at Merrill Lynch, Donaldson, Lufkin and Jenrette, and Paribas Capital Markets as an Integrated Oil & Gas equity analyst.

Richard holds a Graduado Superior/BA (Hons) in European Business Administration from ICADE in Madrid.

Dialogue 2021 speaker Jo-Anne Matear
Jo-Anne Matear
Manager, Corporate Finance, Ontario Securities Commission

Jo-Anne is a member of the Ontario Securities Commission’s Senior Management Team. She leads a team of lawyers, accountants and geologists in the Corporate Finance Branch that is responsible for the oversight of public companies, including the review of prospectuses, continuous disclosure documents and applications for exemptive relief.

Jo-Anne has also led several significant policy initiatives, including those focused on environmental, social and governance issues. For example, she co-leads the Canadian Securities Administrators’ (CSA) climate-related disclosures initiative and leads the CSA’s initiative regarding diversity on corporate boards and in executive roles.

Prior to joining the Commission, Jo-Anne practised corporate and securities law in Toronto, Ontario and London, England. Jo-Anne received her Bachelor of Commerce (Honours) from Queen’s University and her Bachelor of Laws from the University of Toronto.

Dialogue 2021 speaker Sheldon Mills
Sheldon Mills
Executive Director, Consumers and Competition, Financial Conduct Authority

Sheldon was appointed Executive Director, Consumers and Competition in December 2020. He was previously the Interim Executive Director of Strategy and Competition at the FCA. Sheldon joined the FCA in November 2018.

Previously, as Senior Director at the Competition and Markets Authority (CMA), Sheldon had overall leadership responsibility for the delivery of UK merger control across the entire economy and for the strategic design and implementation of the new UK State Aid regime. He is a qualified solicitor and prior to joining the CMA he practised law at King & Wood Mallesons and Jones Day, counselling a range of UK and international clients in antitrust and competition law.

Sheldon Mills holds undergraduate and postgraduate law degrees from King’s College, London and was born and raised in Cardiff, Wales.

Photo of Tim Moseley
Tim Moseley
Vice-Chair, Ontario Securities Commission

Tim Moseley was appointed a Vice-Chair of the Ontario Securities Commission in 2017, after three years as a Part-time Member of the Commission. He was previously a Senior Vice-President and the global Chief Compliance Officer for the Canadian Imperial Bank of Commerce from 2004 to 2014. Before that, he headed the CIBC’s Canadian compliance operations and led the litigation groups of CIBC’s and Merrill Lynch Canada’s legal departments.

From 1995 to 2001, he was litigation counsel in the OSC’s Enforcement branch, with the last two years as Manager of Litigation.

Mr. Moseley is a regular contributor to adjudicator training programmes offered by Osgoode Professional Development and the Society of Ontario Adjudicators and Regulators. He is Co-Chair of the Laskin Moot, the national bilingual moot court competition in administrative law, and has been a guest lecturer on administrative law at the University of Toronto’s Faculty of law, and on business ethics in the MBA programmes at Queen’s University and York University.

Mr. Moseley holds a B.A. and an LL.B. from University of Toronto, an M.B.A. from Queen’s University, and the ICD.D designation from the Institute of Corporate Directors.

Dialogue 2021 speaker Jennifer Newman
Jennifer Newman
Senior Managing Director, Real Estate Operations and Special Projects, Ontario Teachers’ Pension Plan

Jennifer Newman is the Vice-Chair of the Board and Chair of the Finance, Audit & Risk Committee at IIROC where she has served on the board as an independent member since 2020. She is also a member of the Governance Committee. 

Jennifer is currently the Senior Managing Director, Real Estate Operations & Special Projects at Ontario Teachers’ Pension Plan (OTPP) where she is responsible for Teachers’ internal real estate portfolio which involves the build out of Teachers’ new location of 160 Front Street as well as OTPP’s return to office strategy. Prior to this role Jen led the Service Delivery team focusing on Technology Delivery as well as Data & Innovation. She started her career at Teachers’ running the Operations team in Finance. 

Jennifer spent 12 years at CIBC and BMO where she held roles in Finance, Risk Management and Strategic Management. 

Jennifer is a CA, CPA, holds her ICD.D and graduated with a BCOMM from Queen’s University. 

Dialogue 2021 speaker Paul Redman
Paul Redman
Director, Regulatory Strategy and Research, and Chief Economist, Ontario Securities Commission

Paul Redman is Director of the Regulatory Strategy and Research Branch and Chief Economist at the Ontario Securities Commission. Paul and his team provide the commission and its staff with high quality, actionable insight and analysis of market trends, emerging regulatory issues, and potential risks relevant to the OSC’s mandate.

Paul is currently the Vice-Chair of IOSCO’s Committee on Emerging Risk (CER). The IOSCO CER provides a platform for securities market regulatory experts and economists to discuss emerging risks and market developments. Projects undertaken by the CER equip regulators with the appropriate tools, data and information needed to identify, monitor, and mitigate emerging risks in their jurisdictions and inform the IOSCO Board’s prioritization of initiatives.

He has more than 20 years’ experience in the financial services industry. In addition to his experience in regulation/policy he held roles at a major investment dealer, a global financial information provider and one of Canada’s largest insurance companies.

Dialogue 2021 speaker Cass R. Sunstein
Cass R. Sunstein
Robert Walmsley University Professor, Harvard Law School

Cass R. Sunstein is the founder and director of the Program on Behavioral Economics and Public Policy at Harvard Law School. In 2018, he received the Holberg Prize from the government of Norway, sometimes described as the equivalent of the Nobel Prize for law and the humanities. In 2020, the World Health Organization appointed him as Chair of its technical advisory group on Behavioural Insights and Sciences for Health. From 2009 to 2012, he was Administrator of the White House Office of Information and Regulatory Affairs, and after that, he served on the President's Review Board on Intelligence and Communications Technologies and on the Pentagon's Defense Innovation Board. Mr. Sunstein has testified before congressional committees on many subjects, and he has advised officials at the United Nations, the European Commission, the World Bank, and many nations on issues of law and public policy. He serves as an adviser to the Behavioural Insights Team in the United Kingdom.

Mr. Sunstein is author of hundreds of articles and dozens of books, including Nudge: Improving Decisions about Health, Wealth, and Happiness (with Richard H. Thaler, 2008), Simpler: The Future of Government (2013), The Ethics of Influence (2015), #Republic (2017), Impeachment: A Citizen's Guide (2017), The Cost-Benefit Revolution (2018), On Freedom (2019), Conformity (2019), How Change Happens (2019), Too Much Information (2020) and Sludge (2021).

Dialogue 2021 speaker Michael Thom
Michael Thom
Managing Director, CFA Societies Canada

Michael Thom, CFA is the Managing Director for CFA Societies Canada. He provides strategic leadership and operational oversight for the organization and acts as a vocal representative for the 12 Canadian CFA Societies and over 19,000 Canadian CFA charterholders in policy and regulatory dialogues in Canada. Through active engagement and communication with regulators, policymakers, media, and prominent key stakeholder groups Michael uses nearly 15 years of experience in the financial industry to elevate professionalism, investor interests, and the voice of Canadian charterholders. He supports and offers guidance towards policy formation and advocates to Canadian policy makers regarding financial industry regulation, development of relevant research and thought leadership, promotion of professional standards, and outreach to government and industry to build financial market integrity in Canada.

Michael previously had a career in capital markets and investing, most recently as an executive at a Toronto-based hedge fund manager. Michael is a graduate of the University of British Columbia and is a CFA charterholder.

Continuing education

IIROC Continuing Education

Attendance at OSC Dialogue 2021 is eligible for up to 2.00 hours of Professional Development CE credits, and up to 3.75 Compliance CE credits. Per-session breakdown is as follows: 

  • Session 1:  Opening remarks/A conversation with the Chair and CEO – 0.50 hour of Compliance CE credits 
  • Session 2: Regulating for a sustainable future – 1.25 hours of Compliance CE credits 
  • Session 3: Too Much Information luncheon presentation – 0.75 hour of Compliance CE credits 
  • Session 4: Bank of Canada keynote presentation – 0.75 hour of Professional Development CE credits 
  • Session 5: Modernizing Canada’s SRO framework – 1.25 hours of Compliance CE credits 
  • Session 6: A brave new world of retail investing – 1.25 hours of Professional Development CE credits 

FP Canada Continuing Education 

Attendance at OSC Dialogue 2021 is eligible for up to 6.50 hours of Financial Planning CE credits. Per-session breakdown is as follows:

  • Session 1:  Opening remarks/A conversation with the Chair and CEO – 1.00 hour of Financial Planning CE credits
  • Session 2: Regulating for a sustainable future – 1.25 hours of Financial Planning CE credits
  • Session 3: Too Much Information luncheon presentation – 0.75 hour of Financial Planning CE credits
  • Session 4: Bank of Canada keynote presentation – 0.75 hour of Financial Planning CE credits
  • Session 5: Modernizing Canada’s SRO framework – 1.25 hours of Financial Planning CE credits
  • Session 6: A brave new world of retail investing – 1.50 hours of Financial Planning CE credits

Law Society of Ontario 

Attendance at OSC Dialogue 2021 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit The Law Society of Ontario

CPA Ontario 

Attendance at OSC Dialogue 2021 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit CPA Ontario.

Registration

Thank you for your interest in attending OSC Dialogue 2021: Creating Conditions for Growth. Registration is now closed. We hope you'll plan to join us next year. For any questions, we can be reached at [email protected].

Frequently asked questions

OSC Dialogue 2021 will be taking place online on Tuesday, November 23, 2021. The full-day event will start at 9:00 a.m. and conclude by 5:00 p.m. ET. There is no in-person attendance for this year’s event.

With more than 700 attendees each year, Dialogue attracts a wide range of people, including registrants, issuers, financial industry leaders, senior regulators and retail/institutional investors. Anyone with an interest in the latest capital markets trends, investing, capital raising, or where regulation is headed will find this event valuable.

The registration fee for our 2021 virtual event is $225.00 + 13% H.S.T.  The fee includes access to live-streamed event content on November 23, 2021, and on-demand for three months after the event. In addition, a hard-cover copy of Sludge, by Cass R. Sunstein will be shipped after November 29 to all paid registrants residing in Canada.

OSC Dialogue is delivered on a cost-recovery basis. As a result, group rates and/or discounts are not available.  

All registrations must be received by 5:00 p.m. ET on November 18, 2021. This cut-off will ensure that you receive your confirmation and access link ahead of the event. Registrations on the day of the event will not be accepted. 

A link to the virtual conference platform will be emailed a minimum of 48 hours in advance of the live event (on or before November 21). The email address that you included when you registered is your login credential to join.  

You only need to enter that email address to join the event and a password is not required.  

No, access to the virtual event platform is unique to the individual registered and cannot be shared with others.

Yes, the full event is being recorded. The registration fee includes access to all event content, on-demand, for three months after the event.

You can access all recordings of the event sessions, on demand, for three months after the event. Simply use your event ‘link to join’ along with your email address, in the exact same way you accessed the live event on November 23rd.   

OSC Dialogue 2021 content will be available on-demand for three months after the event, for all registered guests. The OSC will not issue refunds to guests who cancel or are unable to attend the live webcast.  

Attendance at OSC Dialogue 2021 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. Please click the Continuing Education tab on this website for more detailed information.

Yes, during the live online event all attendees will have an opportunity to direct questions to our speakers via a Q&A field, directly in the virtual event platform. We will do our best to pose to our moderators, and answer, all the questions we receive. 

Yes, a live help desk will be available throughout the live online event. We also recommend that you perform the System Check that will be included with your ‘link to join’ email.

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