PURCHASE
Publication | Archived Video
DESCRIPTION
Ensure you are up-to-date with recent important developments in securities regulation. At this program, senior representatives of the Ontario Securities Commission, the Toronto Stock Exchange and the Investment Industry Regulatory Organization of Canada will update you on recent developments and policy initiatives. Get the information you need to provide timely and accurate advice to your clients or your company on securities matters. If you have attended previous Annual Updates, you know how valuable this session will be.
PROGRAM CHAIR
Paul Simon, Partner, Borden Ladner Gervais LLP
TABLE OF CONTENTS
TSX Update
Julie Shin, Director, Listed Issuer Services, TSX
IIROC Update
Sonali GuptaBhaya, Senior Policy Counsel, Market Regulation Policy Group, IIROC
Proposed Framework for an OSC Whistleblower Program
Kelly Gorman, Deputy Director, Enforcement Branch, OSC
Heidi Franken, Senior Forensic Accountant, Enforcement Branch, OSC
National Instrument 58-101
Disclosure of Corporate Governance Practices
Aba Stevens, Legal Counsel, Corporate Finance Branch, OSC
OSC Exempt Market Review
Melanie Sokalsky, Legal Counsel, Corporate Finance Branch, OSC
Regulatory Update - Investment Funds and Structured Products Branch,
Ontario Securities Commission
Carina Kwan, Legal Counsel, Investment Funds Branch, OSC
M&A Regulatory Update
Adeline Lee, Legal Counsel, Office of Mergers & Acquisitions, OSC
The Cooperative Capital Markets Regulatory System
Frank Allen, Assistant Deputy Minister, Financial Services Policy Division, Ministry of Finance
Colin Nickerson, Director, Securities Reform Policy Branch, Ministry of Finance