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Agenda

Derivatives Roundtable on Canadian Securities Administrators Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed National Instrument 93-102 Derivatives: Registration

Roundtable on Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed National Instrument 93-102 Derivatives: Registration

 

September 20, 2018 – 9:00 a.m. to 12:00 p.m.

 

The Globe and Mail Centre, 351 King Street East, Toronto, Ontario

 

Agenda

 

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)

Allan MacLean-Howard
(CI Investments, Inc.)

Nadeem Siddiq
(Scotiabank)

9:50 – 10:35  a.m.

 

 

 

Topic 2: Registration – Advisors, Dealers and Retail Markets

 

 

 

Paul Hayward and Alison Beer
(Senior Legal Counsel, CRR and Legal Counsel Derivatives, OSC)

Melissa Ghislanzoni
(Portfolio Management Association of Canada)

Larry Bates
(Investor Advsory 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)

Srijan Agrawal
(Royal Bank of Canada)

Waqaas Fahmawi
(Bank of America)

Lise-Estelle Brault
(Autorité des marchés financiers)

11:55 – 12:00 p.m.

Closing

Kevin Fine
(Director, Derivatives, OSC)