December 6th, 2018 - Investor Advisory Panel

le 6 décembre 2018

Meeting Date:		Thursday, December 6th, 2018, 9:30 am – 2:30 pm

Location:		Ontario Securities Commission, 20 Queen Street West Commissioners’ Boardroom, 17th Floor

Members:		Neil Gross (Chair), Jaqueline Allen, Larry Bates, Paul Bates, Pattie Best, Malcolm Heins, Harvey Naglie

Invitees:		Tyler Fleming, Director, Investor Office Maureen Jensen, Chair & CEO Doug Sarro, Senior Advisor Caroline Cakebread, IAP Consultant

TIME	AGENDA ITEMS	PRESENTERS
9:30 – 9:45	1. Chair’s Remarks	Neil Gross
9:45 – 10:00	2. Investor Office Update	Tyler Fleming
10:00 – 11:00	3. Research Project: Extent of advice being provided to mass market investors	Doug Sarro
11:00 – 11:30	4. OSC Chair’s Update	Maureen Jensen
11:30 – 11:45	Break
11:45 – 12:00	5. CMRA Update	All members
12:00 – 12:30	6. CSA Staff Notice 51-356 Problematic Promotional Activities by Issuers (attachment)	All members
12:30 – 1:00	Lunch
1:00 – 1:15	7. FSRA Fee Rule Consultation	All members
1:15 – 1:30	8. Resolver and OBSI update (attachment)	All members
1:30 – 1:45	9. Exempt Market Report (attachment)	All members
1:45 – 2:00	10. BCSC Annual Compliance Report (attachment)	All members
2:00 – 2:15	11. IIROC Investor Polling (attachment)	All members
2:15 – 2:30	12. Other Business	All members