Image
Decorative image

OSC Dialogue 2024: Inviting, thriving and secure capital markets

Metro Toronto Convention Centre | May 22, 2024 | #OSCDialogue

Guided by a new vision and strategy, the OSC is working collaboratively with other regulators, government, industry, and investors to make Ontario’s capital markets even more inviting, thriving and secure. In a rapidly changing environment driven by technological advancements, the importance of strong, agile, and well-governed capital markets has never been more critical. 

Please join us at OSC Dialogue 2024, as we convene business leaders, investors, senior regulators, and international policy experts to discuss current and future trends in capital markets and securities regulation and steps underway to ensure our capital markets are best in class.

Time

Session

8:00

Registration and doors open

Continental breakfast served 

8:45Welcome  – Naizam Kanji, General Counsel and Executive Vice President, Legal, OSC
8:50

Opening remarks 

The Honourable Peter Bethlenfalvy, Minister of Finance, Ontario 

9:00

Collective Intelligence: Bias and the promise of diversity

Virtual Keynote Dr. Vivienne Ming, American Theoretical Neuroscientist and Entrepreneur

What are the ingredients, characteristics and attributes that contribute to inviting, thriving and secure capital markets? What does the data show in terms of diversity of thought around the boardroom table and how does that contribute to greater collective intelligence and ultimately, corporate performance? What are the ingredients of successful teams – from their structure to their size and characteristics – that truly make for great decision making?  What incentive structures work best to encourage innovation, appropriate risk taking and getting the most out of teams?  How might artificial intelligence feed into investor behaviour and the boardroom tables of the future? 

Dr. Vivienne Ming has found that the most robust factors of innovation and collective intelligence are interpersonal trust, flat hierarchies, and diverse teams. As a futurist and hard data researcher, Dr. Ming will deliver a keynote that makes the business case for leaning harder into the tension between trust and diversity. 

9:40

A Clear Path Forward: Unveiling the OSC’s new strategic direction

Remarks – Grant Vingoe, CEO, OSC

Building on the great work done in recent years to modernize and strengthen the OSC, CEO Grant Vingoe will share his perspective on the OSC’s new strategic six-year plan which provides a clear path forward on how the OSC will regulate, what goals it hopes to achieve and how it deals with competing demands.

9:50

Investing 2030: Navigating a new era 
Panel

  • Brigitte Catellier, Associate Director, Osgoode Investor Protection Clinic 
  • Tom C.W. Lin, Jack E. Feinberg Chair Professor of Law, Temple University’s Beasley School of Law  
  • Sasha Tregebov, Director, Behavioural Insights Team Canada 
  • Moderator: Sonny Randhawa, Executive Vice President, Regulatory Operations, OSC

As we peer into the future of investing, the landscape promises both challenges and opportunities. Investors in 2030 will encounter a transformed environment, shaped by technological advancements, shifting regulations, and evolving market dynamics. To thrive in this new era, collaboration between regulators, market participants, and behavioural experts becomes paramount. Our panel will explore how these collective efforts can enhance the investor journey, while also addressing the unique risks inherent in navigating the financial world.

10:50Networking break
11:10

Do public markets matter anymore?
Panel

  • Loui Anastasopoulos, CEO, TSX and Global Head, Capital Formation, TMX Group
  • Bruce Flatt, CEO, Brookfield
  • Renee Jones, Professor and Dr. Thomas F. Carney Distinguished Scholar, Boston College Law School
  • Moderator: Winnie Sanjoto, Senior Vice President, Corporate Finance, OSC

The private markets have experienced explosive growth over recent years. Investors have invested billions in these markets, and businesses are staying private for longer. As private markets grow in significance, what role are they playing in capital formation, innovation and growth; and will public markets be sidelined? Our panel will discuss the evolving role of the public and private markets in capital formation, review the risks and opportunities for businesses and investors, including whether regulators should be taking more regulatory action in this space.

12:10Networking lunch
1:25Welcome back – Naizam Kanji, General Counsel and Executive Vice President, Legal, OSC
1:30

Insights for Global Finance and Fostering Collaboration: A transatlantic dialogue

Keynote address followed by fireside chat – Erik Thedéen, Governor and Chairman of the Executive Board of the Riksbank (Sweden’s central bank) and Grant Vingoe, CEO, OSC

In a dynamic discussion, Governor Erik Thedéen, head of Sweden’s central bank, and Grant Vingoe, Chief Executive Officer of the Ontario Securities Commission, will explore the challenges faced by central banks and securities regulators worldwide. This cross-continental exchange will delve into pivotal themes shaping the financial landscape. What are the key issues for the Swedish central bank at the current juncture? How can both nations collaborate to address climate risks, promote sustainable finance, and drive positive impact? What strategies can mitigate risks in the evolving landscape of non-bank institutions while ensuring market vibrancy? Can global consistency coexist with local market dynamics? What can we learn from each other? This candid dialogue promises fresh perspectives, and a bridge across borders.

2:10

Capitalizing on AI: Pathways to responsible and sustainable growth
Panel

  • Dr. Foteini Agrafioti, Senior Vice President, Data and AI and Chief Science Officer of RBC 
  • Mario Schlener, Managing Partner, Risk Consulting in Canada and Global FS Risk Technology Lead and Co-lead of Ernst and Young’s Global Responsible AI
  • Cameron Schuler, Chief Commercialization Officer and Vice President, Industry Innovation, Vector Institute
  • Moderator: Kevin Fine, Senior Vice President, Thought Leadership, OSC

AI’s impact is being felt across our markets, touching investors, businesses, professionals, intermediaries, and marketplaces alike. As this technological wave surges, it raises critical questions about accountability, fairness, risk management, and market stability.  How can we harness the power of AI systems responsibly and maintain Ontario’s position as a leader in AI innovation? Our experts will address this important question while offering insights into the latest innovations to pragmatic challenges in adoption. Together they will explore the collective responsibility of stakeholders in shaping dynamic, resilient and inclusive financial markets.  

3:10Networking break
3:30

Securing Our Markets: Deterrence, disruption, collaboration
Panel

  • Gurbir S. Grewal, Director, Division of Enforcement, SEC
  • Tim Mullaly, Executive Director, Enforcement and Compliance, ASIC
  • Elsa Renzella, Senior Vice-President, Enforcement and Registration, CIRO
  • Moderator: Leslie Byberg, Executive Vice President, Strategic Regulation, OSC

As technology and financial innovation continuously change, comes increased opportunities for sophisticated and far-reaching financial misconduct. Top experts from around the globe will discuss the current challenges facing enforcement in capital markets, including how to protect investors and keep markets secure using current technological advancements. Our panellists will examine the importance of visible enforcement, as well as the necessity of collaboration at both domestic and international levels to stay ahead of evolving trends and emerging risks.

4:30Closing – Grant Vingoe, CEO, OSC
Reception to follow

Speakers

To view speaker biographies, click "More".

Dialogue 2024 speaker Minister Peter Bethlenfalvy
Hon. Peter Bethlenfalvy
Ontario Minister of Finance

Peter Bethlenfalvy is Ontario’s Minister of Finance. He was elected as MPP for Pickering—Uxbridge in 2018 and was re-elected in 2022.

As Minister of Finance, he is responsible for the management of the province’s finances and building the environment for long-term economic prosperity. Minister Bethlenfalvy continues to deliver on the government’s plan to build a Strong Ontario with the supports necessary for people and businesses today, while laying a strong fiscal foundation for future generations. With Premier Ford, he is working to Get It Done and build the housing and critical infrastructure needed for Ontario’s growing population and economy.

Prior to entering public service, Minister Bethlenfalvy served in senior leadership roles for several financial institutions including as President and Chief Operating Officer of TD Securities (USA) and Co-President of DBRS.

He has served on the Board of Directors for many charitable organizations. In 2014, he joined the True Patriot Love Expedition to the magnetic North Pole in support of Canadian military families.

He holds both a Bachelor of Science and a Master of Business Administration from McGill University which included a year at the HEC School of Management, Paris, and a Master of Arts in Political Science from the University of Toronto.

OSC CEO Grant Vingoe
Grant Vingoe
Chief Executive Officer, Ontario Securities Commission

Grant Vingoe is the first dedicated Chief Executive Officer of the Ontario Securities Commission (OSC). He previously served as both Chair and CEO of the OSC before the roles were separated with the proclamation of the Securities Commission Act, 2021 on April 29, 2022. He is a member of the OSC’s Board of Directors.

Grant is Chair of the Policy Coordination Committee of the Canadian Securities Administrators (CSA), the umbrella organization for securities commissions in Canada, and is a member of the board of directors of the International Organization of Securities Commissions (IOSCO). He is also the Chair of the Joint Regulators Committee responsible for the CSA’s oversight of the Ombudsman for Banking Services and Investments. He also holds leadership positions in Canadian standard-setting bodies and international sustainable finance forums.

Grant is an experienced executive and trusted adviser for regulatory agencies and, during his career as a partner in leading global law firms, for issuers and financial services clients. He has extensive cross-border expertise in securities law and deep knowledge of financial markets.

Grant holds a J.D. from Toronto’s Osgoode Hall Law School and an LL.M from the New York University School of Law. He was admitted to the bar of Ontario in 1983 and New York in 1985.

OSC Dialogue 2024 speaker Foteini Agrafioti
Dr. Foteini Agrafioti
Senior Vice President, Data and AI and Chief Science Officer of RBC

Dr. Foteini Agrafioti is the Senior Vice President, Data and AI and Chief Science Officer of RBC. Foteini is responsible for the Data and AI ecosystem at RBC including data services, ML platforms, AI solutions and R&D. Foteini joined RBC in May 2016 as Chief Science Officer and Co-Founder and Head of Borealis AI, which, under her leadership, has contributed to the development of several AI-enabled products including Aiden and NOMI Forecast. She has helped establish RBC as one of the leading voices on AI.

Prior to joining RBC, Foteini founded and served as Chief Technology Officer at Nymi, a biometrics security company and maker of the Nymi wristband. Foteini also serves as Co-Chair of the Government of Canada’s Advisory Council on Artificial Intelligence, advising the federal government on how to build on Canada’s strengths and global leadership in AI.

OSC Dialogue 2024 speaker Loui Anastasopoulos
Loui Anastasopoulos
Chief Executive Officer, Toronto Stock Exchange and Global Head, Capital Formation, TMX Group

Loui Anastasopoulos is CEO, Toronto Stock Exchange and Global Head, Capital Formation, TMX Group.

Mr. Anastasopoulos is responsible for TMX Group’s Capital Formation businesses, including its global listings businesses, Toronto Stock Exchange (TSX) and TSX Venture Exchange (TSXV), as well as oversight of the Enterprise Marketing function for TMX Group, responsible for driving proactive, integrated marketing programs across the organization.

Mr. Anastasopoulos’s accountabilities include ensuring that TSX and TSXV operate in accordance with their important public interest mandate and that their policies are continually reviewed and developed to address developments in the global capital markets.

Mr. Anastasopoulos oversees a global business development team with representatives located in Canada, the United States, China, Israel, Brazil, Peru and the United Kingdom.

Additionally, Mr. Anastasopoulos has oversight responsibility for TSX Trust Company, our corporate trust, transfer agency and registrar business, and provides strategic guidance and direction to the company in his capacity as a Director. Previously, he served as CEO of TSX Trust, and under his leadership and vision, helped TSX Trust become the largest Canadian-owned transfer agent, and provider of corporate trust services.

Mr. Anastasopoulos joined TMX Group in 2006 and has served in a number of senior leadership roles in the Capital Formation business, including Vice President, Global Business Development, and Director of Relationship Management and Product Development.

Mr. Anastasopoulos has over 20 years of financial services and capital markets experience. Prior to joining TMX Group, he worked at Scotia Mcleod, National Bank Financial and a Toronto-based financial services start-up. Mr. Anastasopoulos graduated from the University of Toronto.

OSC Dialogue 2024 speaker Leslie Byberg
Leslie Byberg
Executive Vice President, Strategic Regulation, Ontario Securities Commission

Leslie Byberg is the Executive Vice President, Strategic Regulation of the Ontario Securities Commission.

Since 2003, Ms. Byberg has held several executive positions at the OSC, most recently serving Executive Director from 2019 to 2024, following her role as Executive Director and CAO from 2016 to 2019, during which she was responsible for overseeing all the OSC’s regulatory and corporate operations. Prior to that, she was the Director of the OSC’s Strategy and Operations Branch, overseeing the OSC’s business planning, policy prioritization and risk management processes. In this role, Ms. Byberg led the development of the OSC’s Strategic Outlook for 2015-2017, oversaw the first comprehensive review of the Canadian fixed income market and led the OSC’s mystery shop research into the retail investment advice process. Ms. Byberg also served as the Director of Corporate Finance and Director of Investment Funds.

Prior to joining the OSC, Ms. Byberg was Senior Counsel, Regulation at the Investment Funds Institute of Canada. Ms. Byberg also worked as an associate lawyer at two Toronto law firms with a practice specializing in investment funds.

OSC Dialogue 2024 speaker Brigitte Catellier
Brigitte Catellier
Associate Director, Osgoode Investor Protection Clinic

Brigitte obtained her BCL/LLB degrees from McGill University (National Program) and was admitted to the Quebec Bar. She also obtained the designation of Certified In-House Counsel – Canada and is a Fellow of the Chartered Governance Institute.

She began her legal career at Norton Rose Fulbright where she was named Partner in Business Law. She developed deep expertise in securities laws and corporate transactions. Brigitte has 25 years of experience in regulated industries, including transportation and media, where she held senior and executive roles. She was Associate General Counsel and Associate Secretary of Canadian National Railway Company and Vice-President, Legal and Corporate Secretary of Astral Media Inc.

Brigitte has also developed deep expertise in corporate governance and the regulation of financial services as Corporate Secretary and Head of Governance of HSBC Bank Canada, Vice-President, Associate General Counsel and Corporate Secretary of Sun Life Financial, Vice-President, Corporate Governance and Compliance of Meridian Credit Union and Corporate Secretary of Motus Bank, and in her current role as Chief Governance Officer of the Cooperators Group.

In January 2019, Brigitte joined York University as Adjunct Professor of Osgoode Hall Law School. She is Associate Director of the Investor Protection Clinic and teaches Compliance in the Financial Services Sector and the Regulation of Financial Institutions as part of the Financial Law LLM program.

Brigitte is a Subject Matter Expert in Boardroom Dynamics for the Chartered Governance Institute’s certification program.

Brigitte is a member of the Ontario Securities Commission’s Investor Advisory Panel and of the Canadian Securities Administrators’ Investor Advisory Panel.

Brigitte was a member of the Board of Directors of Governance Professionals of Canada for 6 years. She was the recipient of the Governance Professional of the Year award in 2022.

Dialogue 2024 speaker Kevin Fine
Kevin Fine
Senior Vice President, Thought Leadership, Ontario Securities Commission

Kevin Fine is Senior Vice-President, Thought Leadership at the Ontario Securities Commission (OSC). Kevin was the Director of the Derivatives Branch at the OSC from 2011 to 2024. As part of his duties at the OSC he participated in a variety of national and international committees working on introduction and oversight of regulation of the OTC derivatives markets. He was the long-time co-chair of the CSA Derivatives Committee. Kevin is also the current chair of the IOSCO Standing Committee on Derivatives, past chair of the international Over the Counter Derivatives Regulators Forum (the “ODRF”), one of the past co-chairs of the IOSCO Task Force on OTC Derivatives and has led several international workstreams relating to OTC derivatives regulation. 

Kevin is also an adjunct professor of law at Osgoode Hall Law School.

Mr. Fine was previously Associate General Counsel and Managing Director, Retail Investor Solutions Group and Securitization, for Bank of Montreal Financial Group of Companies ("BMOFG") and had almost 20 years experience working in OTC derivatives and Capital Markets matters for BMOFG. 

OSC Dialogue 2024 speaker Bruce Flatt
Bruce Flatt
Chief Executive Officer, Brookfield

Bruce Flatt is Chief Executive Officer of Brookfield, a leading global alternative asset manager with over $850 billion in assets under management.

Mr. Flatt joined Brookfield in 1990 and became CEO in 2002. Under his leadership, Brookfield has developed a global operating presence in more than 30 countries.

Prior to his current role, Mr. Flatt ran Brookfield’s real estate and investment operations and has served on numerous public company boards over the past two decades.

OSC Dialogue 2024 speaker Gurbir Grewal
Gurbir S. Grewal
Director, Division of Enforcement, U.S. Securities and Exchange Commission

Gurbir S. Grewal is the Director of the SEC’s Division of Enforcement. Immediately before joining the Commission, Gurbir was the Attorney General for the State of New Jersey. Prior to that, he served as the Bergen County Prosecutor, the chief law enforcement officer for New Jersey’s most populous county. Earlier in his career, Gurbir served as an Assistant United States Attorney for the District of New Jersey, where he was Chief of the Economic Crimes Unit, and an Assistant United States Attorney for the Eastern District of New York, where he was assigned to the Business and Securities Fraud Unit. He was also an attorney in private practice. He holds a J.D. from the College of William & Mary, Marshall-Wythe School of Law, and a B.S. in Foreign Service from the Georgetown University School of Foreign Service.

OSC Dialogue 2024 speaker Renee Jones
Renee Jones
Professor and Dr. Thomas F. Carney Distinguished Scholar, Boston College Law School

Renee Jones is a Professor of Law and Dr. Thomas F. Carney Distinguished Scholar at Boston College Law School. Her scholarship focuses on securities regulation, corporate governance and the federal-state relationship in corporate regulation. Her courses include Corporations, Securities Regulation, Startup Company Governance, and Financial Regulation. From 2018 to 2021, Professor Jones served as Associate Dean for Academic Affairs at the law school.

From 2021 to 2023, Professor Jones served as the Director of the Division of Corporation Finance at the U.S. Securities and Exchange Commission. As Division Director, Professor Jones led a team of more than 400 lawyers, accountants and analysts charged with interpreting, implementing and ensuring compliance with the Securities Act of 1933, the Securities Exchange Act of 1934 and related statutory provisions. In this role, she oversaw the implementation of the Commission's ambitious rulemaking agenda, including the drafting of proposed and final rules covering such topics as the disclosure of climate-related risks, cybersecurity risks, Special Purpose Acquisition Companies (SPACs), insider trading, executive compensation, and shareholder voting. She also oversaw the Division’s Disclosure Review Program to ensure corporate compliance with SEC disclosure requirements, handling issues ranging from disclosure by China-based issuers, climate-related risks, risks related to crypto asset businesses, and the impact of the Russia-Ukraine conflict on corporate issuers. 

OSC Dialogue 2024 speaker Naizam Kanji
Naizam Kanji
General Counsel and Executive Vice President, Legal, Ontario Securities Commission

Naizam Kanji is General Counsel and Executive Vice President, Legal at the Ontario Securities Commission.

Naizam has been with the Ontario Securities Commission since 2000 and previously held the positions of Director of the Mergers and Acquisitions Branch and Deputy Director of the Corporate Finance Branch, with primary responsible for mergers and acquisitions regulation.  He has led work on numerous policy initiatives, including the harmonization of the Canadian take-over bid regime, amendments to the take-over bid regime mandating majority shareholder approval of take-over bids and providing target boards with more time to respond to unsolicited bids, reviews of the proxy plumbing system and role of proxy advisors, staff guidance on board process and disclosure in conflicted M&A transactions, and reforms to the regulatory framework for asset-backed commercial paper.  Naizam has also led regulatory and litigation teams representing staff in M&A administrative proceedings relating to target board defensive responses to unsolicited bids, material conflict of interest transactions and appeals of Exchange decisions impacting corporate control.  

Naizam served as Special Advisor to the Chair on Regulatory Burden Reduction with responsibility for leading the team consulting on regulatory burden in Ontario’s capital markets and the issuance of its report in November 2019 - Reducing Regulatory Burden in Ontario’s Capital Markets. Naizam was a member of the Expert Advisory Group and the OSC liaison to the Ontario government’s Capital Markets Modernization Taskforce (CMMT) that was appointed in February 2020 and issued its final recommendations in January 2021.  He was part of the leadership team that implemented the governance changes recommended by the CMMT, including the separation of the regulatory and adjudicative functions of the OSC and separating the roles of the Board Chair and CEO.

Naizam has been a frequent speaker on securities regulation, including mergers and acquisitions, at conferences and law schools in Canada and the United States. He has also written papers on regulatory aspects of mergers and acquisitions law. Naizam is an Adjunct Professor at the University of Toronto Law School and Osgoode Hall Law School, York University where he co-teaches courses in securities litigation and securities law.     

Prior to joining the OSC, Naizam clerked with the Commercial List, Ontario Superior Court of Justice, and was an associate in the insolvency and restructuring group at a leading Canadian law firm.

Naizam has a LL.B and a LL.M from Osgoode Hall Law School, and was admitted to the bar in Ontario in 1998. 

OSC Dialogue 2024 speaker Tom Lin
Tom C.W. Lin
Jack E. Feinberg Chair Professor of Law, Temple University’s Beasley School of Law

Tom C.W. Lin is the Jack E. Feinberg Chair Professor of Law at Temple University’s Beasley School of Law, and author of the award-winning book, The Capitalist and the Activist, which was named one of the best business books as well as one of the best social justice books of the year in 2023.  His research and teaching focus are in the areas of corporate governance, securities law, and financial technology. His scholarship has been published by numerous leading law journals, and his expertise has been featured in major media outlets like The Wall Street Journal, The Washington Post, Bloomberg News, Fortune, CNN, and The Financial Times.

OSC Dialogue 2024 speaker Vivienne Ming
Dr. Vivienne Ming
American Theoretical Neuroscientist and Entrepreneur

Virtual Keynote

Dr. Vivienne Ming explores maximizing human capacity as a theoretical neuroscientist, delusional inventor, and demented author. Over her career she’s founded 6 startups, been chief scientist at 2 others, and launched the “mad science incubator”, Socos Labs, where she explores seemingly intractable problems—from a lone child’s disability to global economic inclusion—for free. As the co-founder and Chief Scientist of Dionysus Health she applies machine learning to lessen the corrosive health effects of chronic stress in communities. She also develops tools for learning at home and in school and TBI, models of bias in hiring and promotion, and neurotechnologies to treat dementia, an outgrowth of her research at UC Berkeley's Redwood Center for Theoretical Neuroscience. In her free time, Vivienne designs AI systems to treat her son’s diabetes, predict manic episodes in bipolar sufferers, and reunite orphan refugees with extended family members. For relaxation, she writes science fiction and spends time with her wife and children. Vivienne was named one of “10 Women to Watch in Tech” by Inc. Magazine and one of the BBC’s 100 Women in 2017. She is featured frequently for her research and inventions in The Financial Times, The Atlantic, Quartz Magazine and the New York Times.

OSC Dialogue 2024 speaker Tim Mullaly
Tim Mullaly
Executive Director, Enforcement and Compliance, Australian Securities & Investments Commission

Tim Mullaly commenced his career in private practice as a CPA for a number of accountancy firms. This led to roles in financial investigation work, firstly relating to personal insolvency followed by corporate investigations. Tim has been at the Australian Securities & Investments Commission (ASIC) for over 25 years, undertaking and leading complex investigations with a focus on financial services. He has had responsibility for many of the highest profile investigations and litigations undertaken by ASIC, particularly following the Global Financial Crisis. As the Executive Director of ASIC’s Enforcement and Compliance team, Tim oversees the leadership, management and strategic direction of ASIC’s enforcement and compliance response to misconduct. The work undertaken by his teams includes the early assessment of matters for investigation or compliance outcomes; the investigation of suspected breaches of the law and subsequent enforcement action; and the forensic support for the enforcement teams. Tim holds a Bachelor of Laws and a Bachelor of Business (Accountancy).

OSC Dialogue 2024 speaker Sonny Randhawa
Sonny Randhawa
Executive Vice President, Regulatory Operations, Ontario Securities Commission

Sonny Randhawa is the Executive Vice President Regulatory Operations of the Ontario Securities Commission.

Since 2009, Mr. Randhawa has held progressively senior positions at the OSC, most recently serving as Executive Director, responsible for the oversight and leadership of several regulatory and advisory operational teams. Prior to that, Mr. Randhawa was the Director of Corporate Finance overseeing the regulation of issuers in the public and private markets. In this role, he led work on numerous policy initiatives, including the short form prospectus framework and multiple actions to reduce regulatory burden affecting companies in Ontario’s capital markets.

Prior to joining the OSC, Sonny was a Senior Manager at a multi-national accounting and advisory firm. He is a Chartered Professional Accountant, Chartered Accountant and Certified Public Accountant (Illinois).

OSC Dialogue 2024 speaker Elsa Renzella
Elsa Renzella
Senior Vice-President, Enforcement and Registration, Canadian Investment Regulatory Organization

As Senior Vice-President, Enforcement and Registration, Elsa Renzella oversees several departments, which all play a critical role in CIRO’s investor protection mandate.

The Registration department ensures that individuals approved by CIRO satisfy certain suitability requirements including minimum proficiency and integrity standards. CIRO’s Enforcement department ensures Approved Persons and dealers who employ them are appropriately disciplined when there is a violation of Investment Dealer, Universal Market Integrity and/or Mutual fund Dealer Rules. Elsa also oversees the Complaints and Inquiries team, the primary contact for investor inquiries and complaints and works closely with Enforcement in identifying potential regulatory misconduct.

Elsa joined one of the predecessor organizations, the Investment Dealers Association, in 2002 as Enforcement Counsel and later assumed various management roles including Director, Enforcement Litigation and Vice-President, Enforcement.

Elsa has extensive litigation experience, including work in private practice with a criminal defence law firm before starting her career in regulation. She holds a Bachelor of Business Administration degree from York University and a Bachelor of Laws degree from Osgoode Hall Law School.

OSC Dialogue 2024 speaker Winnie Sanjoto
Winnie Sanjoto
Senior Vice President, Corporate Finance, Ontario Securities Commission

Winnie Sanjoto has been with the Commission in progressively senior roles for more than 20 years. After joining the OSC from private law practice as legal counsel, she worked as Senior Legal Counsel and then Manager in the Corporate Finance Branch. Most recently, Winnie worked as Special Advisor, Emerging Regulation to the Executive Director supporting the OSC’s regulatory efforts relating to the emerging crypto assets sector, among other issues.

Winnie has been engaged in numerous operational and transactional matters over the course of her OSC career encompassing all aspects of the Branch’s core regulatory activities. She has played a strategic lead role on numerous OSC-wide, multi-branch initiatives such as the OSC’s burden reduction initiative. She has also led various policy initiatives that involved working closely with external stakeholders, other Canadian and international regulators, and the Ministry of Finance.

Winnie is also Chair of the OSC’s Inclusion and Diversity Council.

OSC Dialogue 2024 speaker Mario Schlener
Mario Schlener
Managing Partner, Risk Consulting in Canada and Global FS Risk Technology Lead and Co-lead of Ernst and Young’s Global Responsible AI

Mario is Managing Partner of Risk Consulting in Canada, Global FS Risk Technology Lead and Co-Lead of EY's Global Responsible AI Team.

In addition Mario is the Co-Product Owner for EY’s Global Model/AIOps Platform and Product Owner of EY.ai Confidence Index and contributes to several global regulatory AI initiatives on Fairness, Explainability, Reliability, Security and Safety.

Mario leads EY’s AI applied research lab with a focus on threat-intelligence and anticipate impact from disruptive-tech by working with leading research institutions (e.g. MiT, UofT, Microsoft Research, Vector.ai, Queens University), startups and hyperscalers on the cutting-edge of technology research including development of risk assessment methods to identify technology black swans. His personal focus is currently on misinformation and disinformation (incl deep fakes), Next GenAI – Reasoning and Intuition, Causal AI, Chaos Theory and Quantum Risk.

He brings over 25 years of experience in risk and capital markets leading risk transformation programs for GSIBs, implementing front/back office pricing platform modernizations (inhouse build and vendor), developing/validating qualitative and quantitative risk- (incl. credit, market, CCR, ALM and OpRisk), rating- (AIRB, EC, IFRS9) and capital markets- (incl. XVA,VAR) models for many GSIBs. Before he moved into risk advisory business Mario worked for 10 years for one of the largest banks in Europe/CEE as corporate banker and as part of the fixed income trading, fixed income analytics and CLO structuring department. 

OSC Dialogue 2024 speaker Cameron Schuler
Cameron Schuler
Chief Commercialization Officer and Vice President, Industry Innovation, Vector Institute

Cameron Schuler is the Chief Commercialization Officer & Vice President, Industry Innovation at the Vector Institute. He is the former Executive Director of Amii, where, for 8 years, he led one of the top-ranked Machine Learning and AI groups in the world. Cameron’s multifaceted career has covered finance, business & product development, consumer products, IT and general management from start-ups to mature companies. His industry experience includes Alternative Energy, Banking, Consumer Products, Information Technology (Consumer and Enterprise), Investment Sales and Trading, Life Sciences, Manufacturing, Medical Devices, Oil & Gas, and Oil & Gas Services. Roles have included COO, CFO, President and CEO and he was COO & CFO of a food manufacturer whose products lead to sales of over 250 million units.

He has founded numerous start-up companies (including medical devices as well as computer software & hardware). Cameron is Chair & Co-founder of PFM Scheduling Services, was Managing Director & Co-Founder of Schuler Law Group, a boutique tax planning law firm and spent 8 years in investment sales & trading. He attained an MBA from Queen’s University and completed numerous investment management programs.

OSC Dialogue 2024 speaker Erik Thedeen
Erik Thedéen
Governor and Chairman of the Executive Board of the Riksbank (Sweden’s central bank)

Erik Thedéen is Governor of Sveriges Riksbank and Chairman of the Executive Board since January 1, 2023.

Governor Thedéen is a Member of the Board of Directors of the BIS, Member of the General Council of the ECB and Chair of the European Systemic Risk Board (ESRB). Governor Thedéen is also Governor for Sweden in the IMF and Board Member of the Nordic-Baltic Macroprudential Forum (NBMF).

Between October 2015 and November 2022 Mr. Thedéen was Director General of the Swedish Financial Supervisory Authority (Finansinspektionen). Mr. Thedéen has also previously been board member of International Organisation of Securities Commissions (IOSCO) and Chair of its Task Force on Sustainable Finance, Vice chair of the European Securities and Markets Authority (ESMA) and co chair of the Nordic-Baltic Macroprudential Forum.

Mr. Thedéen has also been CEO of KPA Pension, State Secretary at the Swedish Ministry of Finance, President of the Stockholm Stock Exchange (Nasdaq Stockholm), a strategist at the hedge fund Brummer & Partners, Deputy Director General of the Swedish National Debt Office, a strategist at the money market firm JP Bank, and an analyst at Sveriges Riksbank.

Mr. Thedéen holds a Degree of Master of Science in Business and Economics from the Stockholm School of Economics.

OSC Dialogue 2024 speaker Sasha Tregebov
Sasha Tregebov
Director, Behavioural Insights Team Canada

Sasha Tregebov is the Director of BIT Canada, the Canadian branch of the Behavioural Insights Team. Over the last decade, Sasha and his colleagues have worked extensively with the Ontario Securities Commission and other organizations dedicated to consumer financial protection to enhance the design of policy, program, and communications interventions through behavioural science. From analyzing the impact of investment platform gamification to fee disclosure design, his team's work has been influential in the Canadian securities landscape and beyond. 

Continuing Education/Continuing Professional Development at OSC Dialogue 2024

CIRO Continuing Education

CIRO Investment Dealer CE participants who attend OSC Dialogue 2024: Inviting, thriving and secure capital markets on May 22, 2024, may claim up to 0.75 hours of Professional Development and 4.75 hours of Compliance CE credits.

FP Canada Continuing Education  

FP Canada CE participants who attend OSC Dialogue 2024: Inviting, thriving and secure capital markets on May 22, 2024, may claim up to 4.00 hours of Financial Planning, 0.25 hours of Practice Management and 2.00 hours of Product Knowledge CE credits.

Law Society of Ontario

Attendance at OSC Dialogue 2024 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit the Law Society of Ontario’s website.

CPA Ontario

Attendance at OSC Dialogue 2024 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. For further information, please visit CPA Ontario Simple Guide to CPD Requirements. 

Register for OSC Dialogue 2024

OSC Dialogue 2024 will take place in-person, Wednesday, May 22, 2024. The full-day conference will start at 8:45 a.m. and conclude by 4:30 p.m. ET, followed by our inaugural networking reception. 

Join us as we convene business leaders, senior regulators, and international policy experts to discuss current and future trends in capital markets and securities regulation and steps underway to ensure our capital markets are best in class.

The registration fee is $525.00 CDN + 13% HST. and includes your admission, program materials through our app, networking reception, continental breakfast, buffet lunch and refreshment breaks. 

Group rates are also available. Please visit our registration page to see the details. 

Frequently asked questions

OSC Dialogue 2024 will be taking place May 22, 2024. The full-day event conference will start at 8:45 a.m. and conclude by 4:30 p.m. ET followed this year by our inaugural networking reception.

With more than 450 attendees each year, OSC Dialogue attracts a wide range of people, including registrants, issuers, financial industry leaders, senior regulators and retail/institutional investors. Anyone with an interest in the latest capital markets trends, investing, capital raising, or where regulation is headed will find this event valuable.

The registration fee for our 2024 event is $525 CDN + 13% HST and includes your admission, program materials through our app, networking reception, continental breakfast, buffet lunch and refreshment breaks.

Group rates are also available. Please visit our registration page to see the details.

We are excited to offer OSC Dialogue once again as an in-person event; virtual attendance options will not be offered.

All registrations must be received by 5:00 p.m. ET on May 14, 2024. Registrations on the day of the event will not be accepted.

Cancellations must be received no later than May 8, 2024 and in writing to [email protected] in order to receive a full refund. Cancellations received after May 8, 2024 will be charged the entire conference fee and are not eligible for a refund.

Please note that group registrations are not eligible for a refund. OSC Dialogue is delivered on a cost-recovery basis.

Attendance at OSC Dialogue 2024 may be eligible for substantive hours if the sessions are relevant to one’s practice and professional development. Please click the Continuing Education tab on this website for more detailed information.

Image
Decorative image

OSC email alerts

Subscribe to receive new and important developments at the OSC such as news releases, events and reports.