OSC Announces Agenda for Roundtable on Option of Discontinuing Embedded Commissions

TORONTO, Aug 17, 2017 /CNW/ - The Ontario Securities Commission (OSC) today announced the agenda and list of panellists for the upcoming roundtable to discuss Canadian Securities Administrators (CSA) Consultation Paper 81-408 Consultation on the Option of Discontinuing Embedded Commissions.

The roundtable is being held as part of the CSA's ongoing consultation on the possible impacts of discontinuing embedded commissions. The event will include three panel discussions, each of which will explore a different alternative to the option of discontinuing embedded commissions and discuss the extent to which the alternative may address the CSA's concerns with respect to embedded commissions.

The roundtable will take place on September 18, 2017, from 12:30 p.m. to 4:30 p.m. on the 22nd floor of the OSC's offices, located at 20 Queen Street West in Toronto, Ontario.

Any interested parties wishing to attend the roundtable should register online by visiting the OSC's website. Space is limited. An audio recording and transcript will be posted on the OSC's website following the roundtable.

Any media interested in attending the roundtable should contact media_inquiries@osc.gov.on.ca.

The agenda and list of panellists is as follows, subject to change.




12:30 p.m. – 1:00 p.m.


1:00 p.m. – 1:10 p.m.

Introduction and opening remarks

Maureen Jensen, OSC Chair and CEO

1:10 p.m. – 2:10  p.m.

Topic 1:  Capping or
standardizing trailing

Rob Strickland, Fidelity Investments
Canada ULC

Neil Gross, Component Strategies

Warren Collier, Blackrock Asset
Management Canada Limited

Scott Findlay, Independent Financial
Brokers of Canada

Nicole Lee, RBC Global Asset
Management Inc.

2:10 p.m. – 3:10 p.m.

Topic 2: Discontinuing, or
implementing additional
standards for the use of the
deferred sales charge
purchase option

Barry McInerney, Mackenzie

John Adams, PFSL Investments
Canada Ltd.

Marian Passmore, Canadian
Foundation for Advancement of
Investor Rights (FAIR)

Sonny Goldstein, Goldstein Financial

3:10 p.m. – 3:30 p.m.


3:30 p.m. – 4:30 p.m.

Topic 3:  Enhancements to
disclosure and choice for

Paul Bourque, Investment Funds
Institute of Canada (IFIC)

Sandra Kegie, Federation of Mutual
Fund Dealers

Duane Green, Franklin Templeton
Investments Canada

Dan Hallett, HighView Asset
Management Ltd.

4:30 p.m.



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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