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OSC Announces Roundtable Agenda on Derivatives Registration and Business Conduct Regimes

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OSC Announces Roundtable Agenda on Derivatives Registration and Business Conduct Regimes

Canada NewsWire

TORONTO, Aug. 21, 2018 /CNW/ - The Ontario Securities Commission (OSC) today announced details for an upcoming roundtable it will host as part of the Canadian Securities Administrators (CSA)'s ongoing consultation process on the proposed derivatives registration and business conduct regimes.

The roundtable will take place on September 20, 2018, from 9:00 a.m. to 12:00 p.m. at the Globe and Mail Centre, located at 351 King Street East in Toronto, Ontario. Panel discussions will focus on policy proposals outlined in the notices.

The event will include three panel discussions: one on business conduct for institutional and retail markets; a second on registration for advisors, dealers and retail markets; and a third on registration for financial institutions (federally and provincially regulated).

Any interested parties wishing to attend the roundtable should register online by visiting the OSC's website. Space is limited.

A transcript will be posted on the OSC's website following the roundtable.

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

Time

Topic

Panellists

8:30 – 9:00 a.m.

Arrival/Check-in


9:00 – 9:05 a.m.

Introduction and Opening
Remarks

Maureen Jensen

Chair and Chief Executive Officer, OSC

9:05 – 9:50 a.m.

Topic 1: Business Conduct –
Institutional and Retail Markets

Aaron Unterman - Moderator

Senior Legal Counsel, Derivatives, OSC

 

Jennifer Levin

National Futures Association

 

Greg O'Donohue
Ontario Teachers' Pension Plan

 

PMAC member firm, TBD

 

Nadeem Siddiq

Scotiabank

9:50 – 10:35 a.m.

Topic 2: Registration – Advisors,
Dealers and Retail Markets

Paul Hayward and Alison Beer - Moderators

Senior Legal Counsel, CRR and Legal Counsel, Derivatives, OSC

 

Melissa Ghislanzoni

Portfolio Management Association of Canada

 

Larry Bates

Investor Advisory Panel

 

Bob Wong

OTT Financial Canada

 

Richard Corner

Investment Industry Regulatory Organization of Canada

10:35 – 10:45 a.m.

Break  


10:45 – 11:55 a.m.

Topic 3:  Registration – Financial
Institutions (Federally and
Provincially Regulated)

Kevin Fine - Moderator

Director, Derivatives, OSC

 

Mary Condon

Osgoode Hall Law School

 

Srijan Agrawal

Royal Bank of Canada

 

Waqaas Fahmawi

Bank of America

 

CSA Representative, TBD

11:55 – 12:00 p.m.

Closing

Kevin Fine
Director, Derivatives, OSC

 

Details regarding the CSA's proposals can be found in Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration and Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101 CP Derivatives: Business Conduct.

The mandate of the OSC is to provide protection to investors from unfair, improper or fraudulent practices, to foster fair and efficient capital markets and confidence in the capital markets, and to contribute to the stability of the financial system and the reduction of systemic risk.  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

View original content: http://www.newswire.ca/en/releases/archive/August2018/21/c2827.html

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