OSC Dialogue 2023: Regulating with Purpose
Metro Toronto Convention Centre | April 27, 2023 | #OSCDialogue2023
OSC Dialogue 2023: Regulating with Purpose
As market players navigate a starkly different macroeconomic environment, geopolitical threats, and shifting investor demands, regulation plays a critical role in fostering stability and confidence. The OSC is facing this challenge, and forging ahead, with an expanded mandate and novel structure.
Please join us at OSC Dialogue 2023 as we convene business leaders, senior regulators, and international policy experts to discuss the path forward amid the risks and opportunities posed by fast-evolving capital markets.
Continental breakfast available
Regulating with Purpose: A fireside chat between CFTC Chairman Rostin Behnam and OSC CEO Grant Vingoe
Pre-recorded Fireside Chat
Rostin Behnam, Chairman of the U.S. Commodity Futures Trading Commission, sits down with Grant Vingoe, CEO of the Ontario Securities Commission, in an exclusive fireside chat pre-recorded in Washington D.C., to talk about navigating the current economic and geopolitical landscape, the challenges of regulating digital assets, and their oversight of derivatives markets. Guided by questions from registered attendees, Chairman Behnam and Grant will discuss the evolving role of regulators, and how effective coordination can help improve responses to financial innovation and address key emerging risks. A live follow-up discussion between Grant and OSC Board Chair Kevan Cowan will conclude the session.
Regulating with Purpose: A conversation between OSC Board Chair Kevan Cowan and OSC CEO Grant Vingoe
In his first public address since becoming Board Chair, Kevan Cowan will sit down with OSC CEO Grant Vingoe to discuss the OSC’s new structure and mandate and how it is responding to market changes, fostering financial innovation, and addressing key emerging risks.
Toward a sustainable future: keynote address by ISSB Vice-Chair Jingdong Hua
Six months into his tenure leading the recently established Montreal centre of the International Sustainability Standards Board (ISSB), we are pleased to welcome ISSB Vice Chair and former World Bank Vice President Jingdong Hua to our stage for a keynote address. Mr. Hua will discuss his vision for the Montreal centre, and how it fits into broader efforts spearheaded by the ISSB to establish a truly global baseline of sustainability disclosures for the capital markets.
The challenge of change: what's next for diversity
Efforts to improve diversity in corporate board and executive positions continue as public companies respond to investor demands and look to maintain momentum toward their diversity goals. Expert panelists will explore the evolution of the diversity discussion, the changes underway, and the challenges ahead. They will discuss how public companies are using data to drive greater transparency, along with other tools and approaches to improve diversity, corporate governance, and related disclosures.
Crypto conundrum: innovation vs investor protection
A panel of crypto experts and skeptics will examine the state of today’s crypto market – the viability of digital assets as an investment, particularly for retail investors, and their utility to the financial system. What is the right regulatory approach given the sector’s volatility, high-profile collapses, and growing interconnectedness to the broader financial system? How do we reconcile the promise of blockchain technology with the highly speculative nature of the current crypto investment landscape? And what is the best way to nurture true innovators while combatting fraud?
Leadership Perspectives: CSA Chief Executives panel
A candid conversation between the Chief Executives of the four largest provincial securities commissions – Autorité des marchés financiers, Alberta Securities Commission, British Columbia Securities Commission, and the Ontario Securities Commission. Our panelists will share their perspectives on key regulatory issues, the challenges of achieving consensus across a vast and diverse country, and how they are working together for the benefit of Canada’s capital markets.
Reverberations: the economic environment following major global events
As a new economic landscape takes shape amid the reverberations of the global pandemic and war in Europe, our panel of Chief Economists from international organizations will discuss the implications of world events for Canada’s economy and capital markets. Which risks have already been priced in, and where do the surprises lie? This wide-ranging discussion will help put these turbulent times in perspective and identify the key trends to watch that can guide your decision-making in the months ahead.
To view speaker biographies, click "More".
Peter Bethlenfalvy is Ontario’s Minister of Finance. He was elected as MPP for Pickering—Uxbridge in 2018 and was re-elected in 2022.
As Minister of Finance, he is responsible for the management of the province’s finances and building the environment for long-term economic prosperity. Throughout COVID-19, Minister Bethlenfalvy provided the supports Ontario families, workers, and businesses needed through the pandemic. Now, with Premier Ford, he is working to Get It Done for our health care system, communities, and economy to ensure they are stronger than ever before.
Prior to entering public service, Minister Bethlenfalvy served in senior leadership roles for several financial institutions including as President and Chief Operating Officer of TD Securities (USA) and Co-President of DBRS.
He has served on the Board of Directors for many charitable organizations. In 2014, he joined the True Patriot Love Expedition to the magnetic North Pole in support of Canadian military families.
He holds both a Bachelor of Science and a Master of Business Administration from McGill University which included a year at the HEC School of Management, Paris, and a Master of Arts in Political Science from the University of Toronto.
Kevan Cowan is a financial services executive with more than 30 years of experience in capital markets operational, regulatory and policy matters. He has been a key participant in the transformative changes occurring in Canadian capital markets over that time.
Mr. Cowan is the past Chief Executive Officer of the Capital Markets Authority Implementation Organization, where he worked on behalf of nine Canadian governments leading the development of a pan-Canadian securities regulatory authority. Prior to that, Mr. Cowan was President of TSX Markets, responsible for the equities business of the TMX Group, including the Toronto Stock Exchange, TSX Venture Exchange, Alpha Trading, TMX Select and related services. He is also a past President of the TSX Venture Exchange. Mr. Cowan was previously a partner in a large Canadian law firm, practicing corporate and securities law.
Mr. Cowan has served on many boards and in advisory roles, including with the Toronto Financial Services Alliance / Toronto Finance International (Chair of the Board), the Investment Industry Regulatory Organization of Canada (Board member), the Ontario Capital Markets Modernization Taskforce Expert Advisory Group, the Calgary Economic Development Investment Advisory Committee, and the Ontario Securities Commission Small Business Advisory Committee.
Mr. Cowan holds a B.A. from the University of Toronto, an LL.B. from Osgoode Hall Law School, and the ICD.D designation from the Institute of Corporate Directors.
Grant Vingoe is the first dedicated Chief Executive Officer of the Ontario Securities Commission (OSC). He previously served as both Chair and CEO of the OSC before the roles were separated with the proclamation of the Securities Commission Act, 2021 on April 29, 2022. He continues to serve as a member of the OSC’s Board of Directors.
Grant is 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 of 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 has extensive cross-border expertise in securities law and deep knowledge of financial markets.
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.
Pre-recorded Fireside Chat
with OSC CEO Grant Vingoe
Rostin Behnam was sworn in as the CFTC’s 15th Chairman on January 4, 2022, following nomination by President Biden and unanimous confirmation by the U.S. Senate.
Chairman Behnam previously served as CFTC Commissioner beginning September, 2017, and as Acting Chairman effective January 21, 2021. Since joining the CFTC, Chairman Behnam individually and as sponsor of the CFTC’s Market Risk Advisory Committee (MRAC) advocated for the CFTC’s use of authority and expertise towards ensuring the derivatives markets operate transparently and fairly for participants and customers. Through his MRAC sponsorship, Chairman Behnam convened leading market experts and public interest groups to engage in public dialogue on such timely issues as global interest rate benchmark reform, central counterparty (CCP) risk and governance, and since the summer of 2019, climate-related market risk.
Chairman Behnam led the creation of the Climate-Related Market Risk Subcommittee to examine climate-related impacts on the financial system. The Subcommittee’s efforts resulted in the September 2020 release of the report Managing Climate Risk in the U.S. Financial System, the first of-its-kind effort from a U.S. government entity.
Chairman Behnam’s arrival at the CFTC followed extensive experiences in financial markets policy. As Senior Counsel to Senator Debbie Stabenow of Michigan, his major responsibilities included the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act and related policy matters affecting the Treasury Department, the U.S. prudential regulators, and the Securities and Exchange Commission.
Prior to his work in the U.S. Senate, Chairman Behnam held several positions in financial markets and financial market regulation and compliance, including as a proprietary equities trader in New York City, an Investigator at the N.J. Bureau of Securities, within the state’s Office of the Attorney General, and private practice, focusing on corporate and transactional law.
Chairman Behnam received his A.B. from Georgetown University and law degree from the Syracuse University College of Law. Chairman Behnam lives in Baltimore with his wife and three daughters.
Wendy Berman, a partner and leader of the securities litigation practice at McCarthy Tétrault, is one of Canada’s foremost securities litigators with extensive experience in complex commercial and securities-related litigation. She has exceptional expertise in corporate misconduct investigations, shareholders’ remedies, securities class actions, securities regulatory investigations and proceedings, litigation aspects of proxy contests, take-over bids and other acquisitions, and corporate governance. Wendy has acted for public companies and their directors and officers in some of Canada’s largest and most significant investigations and proceedings relating to allegations of corporate misconduct, disclosure violations, fraud and insider trading. She advises clients on managing and responding to corporate crisis situations.
From June 2020 to December 2021, Wendy served as Vice-Chair of the Ontario Securities Commission. During her tenure, she was a member of the Commission, its board of directors, adjudicative committee and executive team. Wendy chaired or participated as a member of tribunal panels that decided securities enforcement and transaction-related proceedings and appeals of decisions of self-regulatory organizations. She was also executive sponsor for a number of important securities policy and rule-making initiatives, including mandatory climate-related disclosure and broader diversity.
As President and CEO of the Institute of Corporate Directors, Rahul Bhardwaj leads a Canadian not-for-profit association of more than 16,000 members committed to improving national outcomes by growing the board leadership and governance capacities within Canadian businesses, agencies and not-for-profits.
Mr. Bhardwaj currently serves on the boards of Waterfront Toronto, the Institute of Corporate Directors, the Canadian Foundation for Governance Research as well as the Leader Council at the Ian O. Ihnatowycz Institute for Leadership at Ivey Business School. He is also Chair, Global Network of Director Institutes and Director Emeritus at the Rideau Hall Foundation.
His corporate governance vision has made Mr. Bhardwaj a sought-after presenter, speaker and media commentator, in Canada and across the globe.
As an Executive Director at the OSC, Ms. Byberg is responsible for the oversight and leadership of Compliance & Registrant Registration, Derivatives, Investment Funds and Structured Products, Market Regulation, and Enforcement.
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. In this role, Ms. Byberg led the development of the OSC’s Strategic Outlook for 2015-2017, oversaw the first comprehensive review of the Canadian fixed income market and led the OSC’s mystery shop research into the retail investment advice process. 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.
Harold is a member of the Squamish Nation located in North Vancouver, British Columbia.
After many years of experience in international business, he worked with the Squamish Nation as a negotiator in the areas of economic development, land management and finance and served eight years on the Squamish Council.
He has also acted as an advisor and an arbitrator for First Nations in Western Canada.
Jennifer Coulson has worked in the financial services industry for more than 20 years. She began her career in the mutual fund business working for a national firm that specializes in responsible investing solutions. She oversees Environmental, Social and Governance (ESG) integration for portfolio companies across asset classes; engages with companies to manage ESG risk; develops public policy submissions on ESG matters of broad relevance to the investment industry; and oversees the proxy voting program for Public Markets. Jennifer has an undergraduate degree in Environment & Resource Management from the University of Western Ontario as well as a Masters in Environmental Studies from York University. She has attained the Institute of Corporate Directors designation (ICD.D); Chairs the Investor Group of the 30% Club of Canada; serves on the Investment Advisory Committee for the University of Victoria Student Investment Fund; and, is a member of the Board for the SDI Asset Owner Platform. Jennifer was recently recognized as one of B.C’s Most Influential Women in Finance by BC Business Magazine.
Frances forecasts global macroeconomic and financial trends, analyzes the economy and capital markets for potential opportunities and risks, and serves as a thought leader both within the firm and externally. As a senior member of the firm’s multi-asset solutions team, she coordinates global macro research, assists in the team’s return forecasting process, and contributes to portfolio positioning views.
Prior to joining Manulife, Frances worked as a financial economist for Scotiabank in Toronto, and before that as a global macro analyst for Pavilion Global Markets in Montreal. Earlier in her career, she held various positions at Deloitte, Roubini Global Economics, and Bank of Canada. Frances is a frequent public speaker and regularly appears in international media.
Education: B.A., Economics, Queen’s University; M.A., Economics, New York University
Joined the company: 2016
Began career: 2008
Paul Gruenwald is the Global Chief Economist at S&P Global Ratings based in New York. He leads the economic research agenda and serves as the primary spokesperson on macro-economic matters for the company.
Before joining S&P Global Ratings in 2013, Paul spent almost five years at the Australia and New Zealand Banking Group (ANZ) as the Asia Pacific Chief Economist, where he was responsible for helping set and direct ANZ’s Asian and global economic research agenda, as well as building the bank’s economic research efforts and profile in the region. Previously, Paul worked at the International Monetary Fund (IMF) for nearly 16 years, where he led the team producing the IMF’s Asian regional outlook reports. He was also the IMF Resident Representative to Hong Kong and Korea, the Deputy Chief of the China Division, and did considerable work on both public (Paris Club) and private (London Club) debt restructuring issues.
Paul has a Ph.D. in Economics from Columbia University and a bachelor’s degree in Economics/Mathematics from the University of Texas.
Mr. Hua was appointed as Vice-Chair of the International Sustainability Standards Board (ISSB) in August 2022, effective 1 October 2022. In this role, Mr. Hua has a special focus in overseeing the development and implementation of the ISSB’s strategies to support and include stakeholders in emerging and developing economies as well as small and medium-sized companies.
Mr. Hua brings a wealth of international finance and development expertise to the ISSB. He is the former Vice President and Treasurer of the World Bank, where his responsibilities included green bond initiatives and sustainable finance capacity-building programmes. He also served as the Administrator of the World Bank Group Pension Fund.
Before joining the World Bank, he served as Vice President and Treasurer of the International Finance Corporation, where he led innovative bond issuances in several emerging markets. He has also previously served as Deputy Treasurer of the Asian Development Bank and has held positions at the United Nations Development Programme and the African Development Bank.
Tom Jessop is the President of Fidelity Digital Assets. In this role Tom is responsible for daily business operations while directing the company’s long-term vision to create full-service brokerage and asset management capabilities for native digital assets and tokenized securities.
Tom joined Fidelity from Chain, a leading provider of enterprise blockchain solutions to global financial institutions, where he served as president.
Prior to joining Chain, Tom was global head of Technology Business Development at Goldman Sachs where he led efforts to invest in and partner with early stage technology companies across several domains including blockchain, artificial intelligence and cybersecurity.
Tom was also a founding member of and senior leader in Goldman’s Principal Strategic Investments group (PSI). In this role he managed a global team focused on investments in exchanges, e-trading platforms, post-trade networks, and other fintech solutions. From 2008 to 2012 he built and led PSI’s Asia-Pacific efforts out of Hong Kong. In 2015 he was named to Institutional Investor’s inaugural “Fintech Finance 35” list.
Tom holds an MBA in Finance from New York University and a BA in Economics from The College of the Holy Cross.
For more information call Fidelity Corporate Communications at 617-563-5800.
As chair and chief executive officer, Brenda Leong leads the BCSC’s efforts to ensure market integrity and protect investors. She has direct oversight of the offices of the executive director and general counsel and is an ex-officio member of the BCSC's governance, human resources, and audit committees. As a member of the Canadian Securities Administrators, the North American Securities Administrators, and the International Organization of Securities Commissions, Leong represents the BCSC on emerging issues in securities regulation.
Prior to taking on the BCSC's top job, Leong served as the Commission's executive director and chief enforcement officer from 2004 to 2009. She practiced corporate law with a Vancouver law firm earlier in her career.
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 as Chair of the Canadian Securities Administrators. The CSA, the council of the securities regulators of Canada’s provinces and territories, co-ordinates and harmonizes regulation for the Canadian capital markets.
Mr. Magidson also 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.
Me Louis Morisset has served as President and CEO of the Autorité des marchés financiers (“AMF”) since July 2, 2013. He also sits as a non-independent member on the organization’s board of directors.
As a regulator, the AMF works to ensure financial sector integrity and efficiency. It acts impartially in the interests of the public, professionals, businesses and institutions. Its activities include, among others, regulation of the insurance, securities and derivatives sectors, deposit institutions and the distribution of financial products and services.
As President and CEO, Me Morisset is responsible for direction and management of the AMF and performs the functions and exercises the powers relating to the administration of all laws governing Québec’s financial sector. He ensures, among other things, that a regulatory and normative framework is implemented and maintained that promotes the protection of investors and consumers and the healthy growth of the financial sector.
At the national level, Me Morisset plays a key role within the Canadian Securities Administrators—the council of the securities regulators of Canada’s provinces and territories—and served as its chair from April 2015 to June 2022.
At the international level, Me Morisset represents the AMF on the board of the International Organization of Securities Commissions and has, for many years, contributed significantly to the initiatives of that organization.
From May 2006 until his appointment as President and CEO, Me Morisset held the position of AMF Superintendent, Securities Markets. Prior to that, he was a partner at the law firm Stikeman Elliott LLP, where, for close to ten years, he practised corporate law, acquiring extensive experience in such areas as securities law, corporate finance, and public and private mergers and acquisitions.
Me Morisset is a member of the board of directors of the Institute for governance of private and public organizations, Finance Montréal and the Collège des administrateurs de sociétés.
Me Morisset holds a bachelor of laws from the University of Montréal and has been a member of the Québec Bar since 1996. He is also a certified corporate director.
A world leading expert in corporate governance, corporate law and securities law, Poonam Puri is a tenured professor of business law and corporate governance at Osgoode Hall Law School and former Associate Dean. Poonam is co-founder and academic director of the Osgoode Investor Protection Clinic. It is the first clinic of its kind in Canada, providing pro bono assistance to retail investors who believe their investments have been mishandled. A former commissioner and board director of the Ontario Securities Commission, Poonam currently serves as a board director of the Canada Infrastructure Bank as well as several public companies including Colliers (TSX, NASDAQ). She is also the Chair of the Board of Directors of the Holland Bloorview Kids Rehabilitation Hospital in Toronto.
Appointed to Osgoode Hall Law School 25 years ago, and an Affiliated Scholar with Davies Ward Phillips & Vineberg LLP, Poonam was recently awarded the Peter Dey Governance Achievement Award (2022), the Ontario Law Society Medal (2021), the David Walter Mundell Medal (2020) and the Royal Society of Canada’s 2021 Yvan Allaire Medal for excellence in contributions to the governance of public and private organizations in Canada. Poonam has been previously recognized as one of Canada’s Top 25 Most Influential Lawyers, one of Canada's 100 Most Powerful Women and one of Canada's Top 40 Under 40 leaders. She is a graduate of the University of Toronto Faculty of Law (LL.B., 1995, Silver Medalist) and Harvard Law School (LL.M., 1997).
As an Executive Director at the OSC, Mr. Randhawa is responsible for the oversight and leadership of the Investor Office, Corporate Finance, the Office of Economic Growth and Innovation, the Office of the Chief Accountant, Regulatory Strategy and Research, and the Office of Mergers and Acquisitions.
Since 2009, Mr. Randhawa has held several senior positions at the OSC, most recently serving as Director of Corporate Finance overseeing the regulation of corporate issuers. In this role, he led work on numerous policy initiatives, including the short form prospectus framework, the national policy for income trusts and other indirect offerings, and multiple actions to reduce regulatory burden affecting companies in Ontario’s capital markets.
Prior to joining the OSC, Sonny was a Senior Manager at a multi-national accounting and advisory firm. He is a Chartered Professional Accountant, Chartered Accountant and Certified Public Accountant (Illinois).
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. The Inquiries and Contact Centre is the OSC’s central point of contact market participants and investors with inquiries or complaints.
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.
He has more than 20 years’ experience in the financial services industry. In addition to his experience in regulation and policy he held roles at a major investment dealer, a global financial information provider and one of Canada’s largest insurance companies.
Paul started his corporate governance career in 2003 when he joined the Canadian Coalition for Good Governance (CCGG) as their first full-time employee and Director of Research. He helped launch CCGG and establish the organization as the leading and influential voice in Canadian corporate governance.
In 2010 he joined Ontario Teachers’ (Teachers’) to head their global governance initiatives across public equity assets. In his role, Paul leads Teachers’ global corporate governance initiatives, including advancing leading corporate governance policies and practices, developing and implementing Teachers’ proxy voting activities, and executing the Fund’s public company governance engagement program. He frequently interacts with regulatory bodies across markets to promote regulation that considers the interests of shareholders. Paul has also undertaken governance research, authoring thought pieces including a study on the use of discretionary compensation in executive pay.
With over twenty years’ experience in Corporate Governance, Paul’s is a leading voice in corporate governance globally. His expertise and insights are sought out as he is a frequent speaker on corporate governance issues at conferences, symposiums, and roundtables around the globe.
Paul represents Teachers' interests across of number of global organizations, including the Investor Group of the 30% Club Canada, the Harvard Institutional Investor Forum Advisory Board, the Asian Corporate Governance Association Investor Advisory Group, the High Meadows Institute Leaders Forum and the CCGG Public Policy Committee. He has been a judge for the Governance Professionals of Canada Excellence in Governance Awards since its inauguration in 2013. He is a board member of the International Corporate Governance Network, serving as the Board’s Vice Chair. He also chairs the Accounting and Audit Committee and the Toronto 2023 Conference Planning Committee.
Paul received his MBA from the Rotman School of Management, University of Toronto (with distinction) and holds the ICD.D designation from the Institute of Corporate Directors.
Connor is a decentralized internet researcher and advocate, primarily focused on DAOs.
Connor is the Executive Director of the DAO Research Collective, which accelerates the functionality of decentralized autonomous organizations by procuring and open sourcing targeted research foundational to effective DAO operation.
He co-founded the Canadian Web3 Council, the leading Web3 industry association in Canada, is a mentor at the University of Toronto’s Creative Destruction Lab, and advises non-profit foundations on advocacy. Connor was previously a lawyer at Goodmans LLP and a Venture Partner at Hangar.
Lori Stein is Co-Head of McCarthy Tétrault’s Fintech Group and a partner in the firm’s Business Law Group, specifically the Securities Regulatory and Investment Products Group in Toronto. Lori advises Fintech businesses, portfolio managers, dealers, investment fund managers and institutional investors on all aspects of Canadian securities regulation. Lori is at the forefront of the fast-paced digital asset space, guiding clients on how to manage legal and regulatory risks associated with crypto assets and blockchain infrastructure.
Lori advised the first public bitcoin investment fund in Canada and the first crypto asset trading platform registered as a restricted dealer under Canadian securities laws. She helps clients obtain regulatory approval for innovative business strategies, and also advises on day-to-day compliance issues, investigations, regulatory audits and strategic transactions.
Lori is ranked by Chambers as a Leading Lawyer: Fintech Legal in Canada. She is a frequent speaker and author on key issues that impact clients in the digital assets sector. She is also a member of the Ontario Securities Commission Office of Innovation Beta Directory, providing pro bono legal services to Fintech start-ups.
Before returning to private practice in 2014, Lori spent a decade in-house in the hedge fund industry, including five years as a Chief Compliance Officer. Lori earned her J.D. from the University of Toronto and was called to the Ontario Bar in 2002.
Doug Steiner is Principal of Kakayshun Corp., a consulting firm focused on the valuation of data, business process optimisation and capital investment in seed and early-stage companies. Mr. Steiner has had an extensive career as a founder, operator and angel investor in a number of Canadian fintech companies, and providing advisory services to companies in the finance, media and technology sectors.
Prior to joining Kakayshun Corp., Mr. Steiner was Executive Advisor, Innovation to the Ontario Securities Commission. As a senior member of the OSC operating team, he was responsible for advising and helping coordinate the OSC’s Office of Economic Growth and Innovation (OEGI) Branch design, development and operation, as well as advising the OSC Executive on long term strategy.
Mr. Steiner is a frequent opinion writer and subject matter expert in financial services, and has contributed to The New York Times, The Globe and Mail, and formerly wrote a monthly column for The Globe and Mail’s Report on Business Magazine. In 2016 Mr. Steiner was inducted in the Investment Industry Hall of Fame by the Investment Industry Association of Canada for his pioneering work in computing technology and its application to data analysis, investment pricing and trading.
Benjamin is a member of the CIBC economic team that is responsible for analyzing macro economic developments and their implications for fixed income, equity, foreign exchange and commodities markets. He also acts in an advisory capacity to bank officers on issues related to wealth management, household/corporate credit and risk.
Benjamin has more than 20 years experience in the private sector advising clients, industry leaders, corporate boards, trade associations, and governments on economic and financial issues. He is also a regular commentator in the media.
Benjamin is a member of the Economic Committee of The Canadian Chamber of Commerce, The Economic Development Committee of the Toronto Board of Trade. He is also a member of the board of Governors of Junior Achievement of Central Ontario, and a board member of Toronto Finance International.
Continuing Education/Continuing Professional Development at OSC Dialogue 2023
Attendance at OSC Dialogue may be eligible for CE or CPD substantive hours.
More information concerning CE accredited by FP Canada Continuing Education and the New SRO* will be made available soon.
* As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO). The New SRO will accredit CE formerly facilitated by the IIROC Continuing Education program.
Law Society of Ontario
Attendance at OSC Dialogue 2023 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’s website.
Attendance at OSC Dialogue 2023 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 Simple Guide to CPD Requirements.
OSC Dialogue 2023 will take place in-person, Thursday, April 27, 2023, at the Metro Toronto Convention Centre. The full-day event will start at 9:00 a.m. and conclude by 4:45 p.m. ET. There is no virtual attendance for this year’s event.
Join us as we convene business leaders, senior regulators, and international policy experts to discuss the path forward amid the risks and opportunities posed by fast-evolving capital markets.
The registration fee is $480.00 CDN + 13% H.S.T. and includes your admission, program materials, continental breakfast, buffet lunch and refreshment breaks.
Frequently asked questions
OSC Dialogue 2023 will be taking place April 27, 2023. The full-day event will start at 9:00 a.m. and conclude by 4:45 p.m. ET.
With more than 600 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 2023 event is $480 CDN and includes your admission, program materials, continental breakfast, buffet lunch and refreshment breaks.
Group rates are also available. Please visit our registration page to see the details.
We are excited to offer OSC Dialogue once again as an in-person event; virtual attendance options will not be offered.
All registrations must be received by 5:00 p.m. ET on April 20, 2023. Registrations on the day of the event will not be accepted.
Cancellations must be received no later than April 13, 2023 and in writing to [email protected] in order to receive a full refund. Cancellations received after April 13, 2023 will be charged the entire conference fee and are not eligible for a refund.
Please note that group registrations are not eligible for a refund. OSC Dialogue is delivered on a cost-recovery basis.
Attendance at OSC Dialogue 2023 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.
For any OSC Dialogue 2023 related questions, please contact us at [email protected].
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