OSC announces new members of the Investor Advisory Panel

For Immediate Release OSC IAP

TORONTO - The Ontario Securities Commission (OSC) today announced the appointment of two new members of its independent Investor Advisory Panel (IAP) following a public application process.

The IAP advises and comments on proposed rules, policies and investor protection initiatives, while considering the views of a broad range of investors through consultation with investors and organizations representing investors.

The new IAP members are:

Cary List: Cary List most recently served as President & CEO of FP Canada, the non-profit body that confers CFP and QAFP certification, before retiring after 21 years with the organization. In his role, Mr. List worked to elevate the professional standards, proficiencies and competencies of financial planners and make financial planning more accessible for all Canadians. In 2021, he was recognized for lifetime achievement for his contributions to the financial planning profession. A strong advocate for greater financial literacy and empowerment, Mr. List served on the inaugural National Steering Committee for Financial Literacy. Mr. List holds the FCA, FCPA and CFP designations and the FP Canada Fellow distinction.

James (Jim) Sinclair: Jim Sinclair has over 35 years of experience providing legal services in a wide variety of capital markets settings, including a focus on investor protection and issues facing investors. Most recently, he served as General Counsel at Common Wealth, a company that offers a digital retirement platform to help Canadians achieve their retirement goals. He served for over five years as the General Counsel at the Ontario Securities Commission, and was also acting Director of Enforcement at the OSC, where he helped usher in the OSC Whistleblower Program. Prior to joining the OSC, Jim was the Director of Legal Services at the Ontario Ministry of Finance, where he was engaged in significant securities, pension, insurance and tax reform. Before joining the Ministry, Jim held senior legal and compliance roles in the public and private sectors.

The new members have been appointed for two-year terms effective November 1, 2021.

The OSC would like to take this opportunity to thank outgoing IAP members Patti Best and Harvey Naglie for their valuable contributions during their terms.

The IAP is an important voice for investors in the regulatory process, and new members were selected to ensure that it continues to represent a broad range of relevant experience, skills, knowledge and perspectives.

Full biographical information on all IAP members, along with details on meetings, submissions and other activity, is available in the Investor Advisory Panel section of the OSC website.

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair, efficient and competitive capital markets and confidence in the capital markets, to foster capital formation, and to contribute to the stability of the financial system and the reduction of systemic risk. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at http://www.osc.ca.

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