Investor Advisory Panel Agenda — October 31, 2024
| Meeting Date | Thursday October 31, 2024 |
|---|---|
| Meeting Time | 1:00PM to 4:00PM EST |
| Location | Videoconference |
| 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 Matthew Brady – VP, Office of the Investor Sarah Asals - Manager, Office of the Investor Catherine Drennan - Director, Financial and Operations Policy, Member Regulation Policy Rezarte Vukatana - Senior Policy Specialist Sherry Tabesh-Ndreka - VP, Proficiency Harvey Asiedu-Akrofi - Legal Counsel, Proficiency Kent Bailey - Senior Policy Advisor, Market Regulation Policy Theodora Lam - Director, Market Regulation Policy Sonali GuptaBhaya - VP, Market Policy & Trading Conduct Compliance Kevin McCoy - SVP, Market Regulation |
| TIME (EST) | AGENDA ITEMS | PRESENTERS |
|---|---|---|
| 1:00 - 1:45PM | 1. Phase 5 Rule Consolidation: Financial and Operational Requirements | Catherine Drennan Rezarte Vukatana |
| 1:45 - 2:00 PM | 2. Continuing Education Harmonization | Sherry Tabesh-Ndreka Harvey Asiedu-Akrofi |
| 2:00 - 3:00PM | 3. Proposed Amendments to UMIR Respecting:
| Kent Bailey Theodora Lam Sonali GuptaBhaya Kevin McCoy |
| 3:00 - 3:15 PM | 4. IAP Research | Hélène Belleau Matthew Brady |
| 3:15 - 4:00PM | 5. General Administrative Matters | Karen McGuinness Dorothy Sanford |