Investor Advisory Panel Agenda — October 31, 2024

Meeting DateThursday October 31, 2024
Meeting Time1:00PM to 4:00PM EST
LocationVideoconference
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 ITEMSPRESENTERS
1:00 - 1:45PM1. Phase 5 Rule Consolidation: Financial and Operational RequirementsCatherine Drennan
Rezarte Vukatana
1:45 - 2:00 PM2. Continuing Education HarmonizationSherry Tabesh-Ndreka
Harvey Asiedu-Akrofi
2:00 - 3:00PM

3. Proposed Amendments to UMIR Respecting: 

  1. Mandatory Close-Out Requirements
  2. Trading Increments
Kent Bailey
Theodora Lam
Sonali GuptaBhaya
Kevin McCoy
3:00 - 3:15 PM4. IAP ResearchHélène Belleau
Matthew Brady
3:15 - 4:00PM5. General Administrative MattersKaren McGuinness
Dorothy Sanford

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.

Visit the Canadian Investment Regulatory Organization website