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OSC Announces Roundtable Agenda on Derivatives Registration and Business Conduct Regimes


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.




8:30 – 9:00 a.m.


9:00 – 9:05 a.m.

Introduction and Opening

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


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.


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.


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

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SOURCE Ontario Securities Commission

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