Investor Advisory Panel Agenda — May 31, 2024
| Meeting Date | Friday May 31, 2024 |
|---|---|
| Meeting Time | 8:30 AM to 2:30 PM EST |
| Location | CIRO Offices, 40 Temperance Street, 26th Floor, Canada Room |
| Members | Dorothy Sanford (Chair) Heidi Conrad (Vice Chair) Kerry Baisley James Emmerton Cristie Ford Andrew Nicholson Enoch Omololu Paul Archer Hélène Belleau |
| Invitees | CIRO staff: Karen McGuinness – SVP, Office of the Investor, Membership Intake & Innovation CIRO Executive Leadership Team Members Matthew Brady – VP, Office of the Investor Sarah Asals – Manager, Office of the Investor Kent Bailey, Senior Policy Advisor, Market Regulation Policy Sonali GuptaBhaya, VP, Market Policy & Trading Conduct Compliance Sherry Tabesh-Ndreka, VP, Proficiency Richard Corner, VP and Chief Policy Advisor, Member Regulation Policy Phil Devault, Director, Member Regulation Policy Susan Copland, Senior Policy Counsel, Member Regulation Policy Rezarte Vukatana, Senior Policy Specialist, Member Regulation Policy Guests: Colin Whelan, VP, Innovative Research Group |
| TIME (EST) | AGENDA ITEMS | PRESENTERS |
|---|---|---|
| 8:30 – 9:00 AM | BREAKFAST | |
| 9:00 – 10:00 AM | 1. Strategic Plan and Annual Public Priorities | CIRO Executive Leadership Team |
| 10:00 – 10:15 AM | 2. Market Regulation Policy: Exchange Traded Funds | Kent Bailey and Sonali GuptaBhaya |
| 10:15 – 10:30 AM | 3. Proficiency Model Update | Sherry Tabesh-Ndreka |
| 10:30 – 10:45 AM | BREAK | |
| 10:45 – 11:30 AM | 4. Member Regulation Policy: Directed Commissions Rule Consolidation Update Total Cost Reporting | Richard Corner Phil Devault and Susan Copland Rezarte Vukatana |
| 11:30 –11:45 AM | 5. CSA Proposal on OBSI Binding Authority – Public Comments | Karen McGuinness |
| 11:45 AM – 12:30 PM | LUNCH | |
| 12:30 – 1:30 PM | 6. Investor Survey Results | Matt Brady Colin Whelan |
| 1:30 – 2:30 PM | 7. IAP Workplan & General Administrative Matters | Karen McGuinness Dorothy Sanford |