Scheduled outage for OSC Electronic Filing Portal: December 10, 2024 from 5:30 pm to 11 pm (EST)
October 10, 2019 - Investor Advisory Panel - Agenda
Meeting Date: |
Thursday, October 10, 2019 9:30 am - 3:00 pm |
|
Location: |
Ontario Securities Commission, 20 Queen Street West |
|
Members: |
Neil Gross (Chair), Jaqueline Allen, Paul Bates, Daniel Brunet, Patti Best, Malcolm Heins, |
|
Invitees: |
Tyler Fleming, Director - OSC Investor Office |
|
Regrets: |
Caroline Cakebread, IAP Consultant |
|
TIME |
AGENDA ITEMS |
PRESENTERS |
9:30 - 9:40 |
1. Chair’s Report |
Neil Gross |
9:40 - 10:00 |
2. Kenmar Associates |
Ken Kivenko |
10:00 - 10:45 |
3. Bans on Sale of Certain Investment Products to Retail Investors |
Paul Hayward |
10:45 - 11:00 |
4. Investor Office Update |
Tyler Fleming |
11:00 - 12:00 |
5. Vanguard |
Kathleen Bock |
TIME |
AGENDA ITEMS |
PRESENTERS |
12:00 - 12:30 |
6. LUNCH | |
12:30 - 1:00 |
7. Client Focused Reforms
Discussion will continue under Other Business as necessary |
Neil Gross |
1:00 - 1:45 |
8. Independent Review Committees (IRCs) |
Michele McCarthy |
1:45 - 2:30 |
9. Risk Rating for Liquid Alt Funds
CSA Proposals to Reduce of Regulatory Burden for Investment Funds |
Raymond Chan |
2:30 - 3:15 |
10. Restitution Initiatives |
Jeff Kehoe |
3:15 - 3:30 |
11. Other Business |
All Members |
FUTURE 2019 MEETING DATES: |
Thursday, November 14, 2019 9:30 – 3:00 pm |
Thursday, December 12, 2019 9:30 – 3:00 pm |