OSC whistleblower roundtable

OSC Roundtable Past Event

Jun 09, 2015

08:30 am - 12:00 pm

OSC, 22nd Floor, 20 Queen Street West, Toronto, Ontario M5H 3S8

The OSC announced in April that it will hold a roundtable to further explore the issues raised in OSC Staff Consultation Paper 15-401, which proposed a new whistleblower program to encourage the reporting of serious misconduct of Ontario securities law to the OSC. The program would be the first of its kind for securities regulators in Canada.

The event featured panel discussions reflecting the viewpoints of investors, market participants, members of the securities litigation bar and other stakeholders. Specific themes included: effectiveness of whistleblower programs, whistleblower protections and the impact of a whistleblower program on internal compliance systems.

Transcript

Agenda

8.30 – 9.00 a.m.	Arrival/Check-in
9.00 – 9.15 a.m.	Introduction and Opening Remarks Moderator: Mary Condon (OSC Commissioner)
9.15 – 10.00 a.m.	Topic 1: Effectiveness of Whistleblower Programs Moderator: Mary Condon (OSC Commissioner) Panel: Marian Passmore (Canadian Foundation for Advancement of Investor Rights) John Pecman (Competition Bureau) Dimitri Lascaris (Siskinds LLP) Jane Norberg (U.S. Securities & Exchange Commission)
10.00 – 10.45 a.m.	Topic 2: Whistleblower Protections - Anti-Retaliation Measures and Whistleblower Confidentiality Moderator: Alan Lenczner (OSC Commissioner) Panel: Connie Craddock (OSC Investor Advisory Panel) Daniel Pugen (McCarthy Tétrault) David Hausman (Fasken Martineau) Jordan Thomas (Labaton Sucharow LLP)
10.45 – 11.00 a.m.	Break
11.00 – 11.45 a.m.	Topic 3: Impact of an OSC Whistleblower Program on Internal Compliance Systems Moderator: Tim Moseley (OSC Commissioner) Panel: Megan Telford (TD Bank Group) Sheila A. Murray (CI Financial Corp.) Linda Fuerst (Lenczner Slaght) Christine Wiedman (University of Waterloo)
11.45 – 12.00 p.m.	Closing