June 20, 2013 - Investor Advisory Panel - Agenda


Investor Advisory Panel Meeting
Friday, April 12, 2013
10:00 am – 12:30 pm

OSC Office
20 Queen Street West
Toronto, ON

MEMBERS:       Nancy Averill
                        Paul Bates (Chair)
                        Connie Craddock
                        Alan Goldhar
                        Ken Kivenko
                        Cary List

INVITEES:     Sandra Kegie, Federation of Mutual Fund Dealers
                      Marrianne Bridge, Deputy Director, CRR
                      Carlin Fung, Senior Accountant, CRR
                      Robin Spurr, Assistant to the Panel
                      Elearnor Farrell, Director, Office of the Investor
                      Lisa Enright, Advisor (secretary for the meeting


1. Discussion with Federation of Mutual Fund Dealers

2. OSC staff Notice 33-740 – Report on the results of the 2012 targeted review of portfolio managers and exempt market dealers to assess KYC, KYP and suitability obligations

3. Panel’s plans and objectives

4. Update from the Office of the Investor

5. General IAP activities and future agendas
       - OBSI Consultation
       - Enforcement Initiatives