February 18, 2021 - Investor Advisory Panel - Agenda

Meeting Date:  

Thursday, February 18, 2021   9:30 am – 3:00 pm
 
Location:  

Video Conference
 
Members:  

Neil Gross (Chair), Jacqueline Allen, Daniel Brunet, Patti Best, Serge Kalloghlian, Harvey Naglie, Ilana Singer, Leslie Wood
 
Invitees:  

Tyler Fleming – Director, Investor Office, OSC
Paola Cifelli – Manager, Policy and Initiatives, Investor Office, OSC
Caroline Cakebread – IAP Consultant
Rick A. Fleming – Investor Advocate, U.S. Securities and Exchange Commission
Adam Anicich – Special Advisory and Investor Engagement Manager, Office of the Investor Advocate, U.S. Securities and Exchange Commission
Marc Sharma – Chief Counsel, Office of the Investor Advocate, U.S. Securities and Exchange Commission
Marian Passmore – Senior Advisor, Investor Experience, Investor Office, OSC
JP Bureaud – Executive Director, FAIR Canada
Stephen Paglia – Manager, Investment Funds & Structured Products, OSC
Irene Lee – Senior Legal Counsel, Investment Funds & Structured Products, OSC
Michael Tracey – Senior Advisor, Behavioural Insights, Investor Office, OSC
Karen McGuinness – Senior Vice-President, Member Regulation – Compliance, MFDA
Paige Ward – General Counsel, Corporate Secretary and Vice-President, Policy, MFDA
 

 

TIME

AGENDA ITEMS

PRESENTERS

9:30 – 9:45

1. Chair’s Report

Neil Gross

9:45 – 10:00

2. Investor Office Update

Tyler Fleming

10:00 – 11:00

3. SEC Office of the Investor Advocate (see attachments)

Rick A. Fleming
Adam Anicich
Marc Sharma

11:00 – 11:45

4. FAIR Canada

JP Bureaud

11:45 – 12:15

5. Complaint handling (see attachments)

Harvey Naglie

12:15 – 12:45

6. CMM Taskforce Recommendation re: OBSI CSA Response to Taskforce (see attachments)

All members

12:45 – 1:15

7. LUNCH

 

1:15 – 2:00

8. Proposal to Allow for Consolidation of Fund Facts and ETF Facts (see attachments)

Stephen Paglia
Irene Lee

2:00 – 2:30

9. Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 – Limited Trading Authorization – Discussion with the MFDA

Karen McGuinness
Paige Ward

2:30 – 3:00

10. Other Business

All members

         

FUTURE 2021 MEETING DATES:

Thursday March 18, 2021
Thursday April 22, 2021
Thursday May 20, 2021
Thursday June 24, 2021
Thursday July 22, 2021

Thursday August 19, 2021
Thursday September 23, 2021
Thursday October 21, 2021
Thursday November 18, 2021
Thursday December 9, 2021