Plenary Sessions
This year’s conference will feature two plenary panels on enforcement and disclosure. Panel information is detailed below:
Plenary 1
Topic:
Comparing enforcement approaches: Does a border make a difference?
Time:
9:15 – 10:30 a.m.
Moderator:
Larry Ritchie, Vice-Chair, OSC
Panelists:
Jeffrey Leon, Partner, Bennett Jones LLP
Linda C. Thomsen, Director, Division of Enforcement, U.S. Securities and Exchange Commission
Peter Unger, Partner, Howrey LLP
Michael Watson, Director, OSC Enforcement Branch
Panel Description:
Vigorous enforcement is a top priority for securities regulators in Canada and in the U.S. Panelists will discuss the enforcement approaches
and priorities of the OSC and the U.S. Securities and Exchange Commission and share perspectives on how regulatory co-operation contributes
to fostering the integrity of the capital markets.
Plenary 2
Topic:
The disclosure environment in today's capital markets
Time:
1:30 – 2:45 p.m.
Moderator:
Jim Turner, Vice-Chair, OSC
Panelists:
Deborah Alexander, Executive Vice-President and General Counsel, Bank of Nova Scotia
William Braithwaite, Partner, Stikeman Elliott LLP
Naizam Kanji, Manager, Mergers and Acquisitions, OSC Corporate Finance Branch
Margo Paul, Director, OSC Corporate Finance Branch
Panel Description:
Panelists will examine several disclosure issues related to topics such as M&A transactions, principal protected notes, continuous disclosure reviews and disclosure around the exempt market.
The conference offers breakout sessions that will run concurrently from 10:45 – 12:00 p.m. Please select one of the breakout sessions listed below when completing the registration form.
Breakout Session 1
Topic:
Registration Reform: What it means for registrants
Moderator:
David Gilkes, Manager, Registrant Regulation, Compliance and Registrant Regulation Branch, OSC
Panelists:
Marsha Gerhart, Assistant Manager, Registrant Regulation, OSC Compliance and Registrant Regulation Branch
Morley Salmon, Chairman, Limited Market Dealers Association of Canada
Murray Taylor, President and CEO, Investors Group
Prema Thiele, Partner, Borden Ladner Gervais LLP
Panel Description:
The Canadian Securities Administrators have proposed a Rule that would create a national registration regime by harmonizing, streamlining and modernizing registration requirements across Canada. The panel will discuss how the registration requirements will impact registrants, including fund managers, dealers and portfolio managers.
Breakout Session 2
Topic:
Financial reporting: Global standards for Canada’s capital markets
John Carchrae, Chief Accountant, OSC
Bob Muter, Lead, Professional, Technical, Risk and Quality, PricewaterhouseCoopers LLP
Tricia O'Malley, International Accounting Standards Board
Jean Paré, Vice President, Financial Reporting, Bombardier Inc.
Panel Description:
Panellists will discuss the policy implications for Canada's capital markets of adopting International Financial Reporting Standards (IFRS) and International Standards on Auditing (ISA) and the challenges facing regulators and market participants in preparing for the transition.
Breakout Session 3
Topic:
How Passport will Work for Ontario Market Participants
Moderator:
Peggy Dowdall-Logie, Executive Director, OSC
Panelists:
Rossana Di Lieto, Associate General Counsel, General Counsel's Office, OSC
Michael Bennett, Senior Legal Counsel, OSC Corporate Finance Branch
Douglas Hyndman, Chair, B.C. Securities Commission
Douglas Marshall, Partner, Osler, Hoskin & Harcourt LLP, and member of the OSC Securities Advisory Committee
Panel Description:
The OSC has actively participated in designing the interfaces between Ontario and the 12 Passport jurisdictions. This panel will discuss operational issues related to the proposed interfaces and how they will impact market participants in Ontario.
