OSC Announces Agenda for Roundtable on Proposed Best Interest Standard and Targeted Reforms to Enhance the Client-Registrant Relationship

TORONTO, Nov. 23, 2016 /CNW/ - The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable to explore issues raised in CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients. The roundtable is being held as part of the Canadian Securities Administrators (CSA) ongoing consultation process on these proposed reforms.

The roundtable will take place on December 6, 2016 from 1:00 p.m. to 4:30 p.m. on the 22nd floor of the Commission's offices, located at 20 Queen Street West in Toronto, Ontario.

Since announcing details of the roundtable on November 10, 2016, the OSC has received significant interest for in-person participation in the roundtable and will now only be accepting attendance requests for the live audio webcast. To register for the audio webcast, participants should visit the OSC's website.

As space is limited, any media interested in attending the roundtable should register in advance by contacting media_inquiries@osc.gov.on.ca.

The agenda and list of panellists is as follows:

Time

Topic

Panellists

 

12:30 – 1:00 p.m.

Arrival/Check-in


1:00 – 1:15 p.m.

Introduction and Opening Remarks

Maureen Jensen

(OSC Chair)

 

 

1:15 – 2:45  p.m.

Panel 1:  Proposed regulatory best interest standard

 

 

 

Monica Kowal - Moderator

(OSC Vice-Chair)

 

Randy Cass

(Nest Wealth Asset Management Inc.)

 

Lawrence Haber

(Corporate director and former industry executive)

 

Margaret McNee

(McMillan LLP)

 

Ursula Menke

(Investor Advisory Panel)

 

Peter Moulson

(Wealth Management Compliance, CIBC)

 

Ian Russell

(Investment Industry Association of Canada)

 

2:45 – 3:00 p.m.

Break 

 

 


3:00 – 4:25 p.m.

Panel 2:  Proposed targeted reforms

 

 

Grant Vingoe - Moderator

(OSC Vice-Chair)

 

Eric Adelson

(Invesco Canada Ltd.)

 

Paul Bourque

(Investment Funds Institute of Canada)

 

Rosemary Chan

(Global Wealth Management, Compliance, Scotiabank)

 

Gerry Rocchi

(Corporate director and former industry executive)

 

Ellen Roseman

(Canadian Foundation for Advancement of Investor Rights (FAIR Canada) and Journalist)

 

Prema Thiele

(Borden Ladner Gervais LLP)

4:25 – 4:30 p.m.

Closing

Debra Foubert

(Director, Compliance and Registrant Regulation, OSC)

 

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices and to foster fair and efficient capital markets and confidence in the capital markets. Investors are urged to check the registration of any persons or company offering an investment opportunity and to review the OSC investor materials available at http://www.osc.gov.on.ca

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SOURCE Ontario Securities Commission

For further information: For Media Inquiries: media_inquiries@osc.gov.on.ca; For Investor Inquiries: OSC Contact Centre, 416-593-8314, 1-877-785-1555 (Toll Free)

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http://www.osc.gov.on.ca

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