14th Annual OSC, TSX and IIROC Update

  • June 02, 2016


Publication Only | Archived Video + e-Materials


Ensure you are up-to-date with recent important developments in securities regulation. 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.


Barbara Hendrickson, BAX Securities Law
Kathleen E. Skerrett, Partner, Gardiner Roberts LLP


TSX Update
Eleanor Fritz, Director Compliance and Disclosure, TSX
Julie Shin, Director, Listed Issuer Services, TSX

IIROC Update
Sonali GuptaBhaya, Director, Market Regulation Policy, IIROC

Proposed OSC Policy 15-601 Whistleblower Program
Shaifali Joshi-Clark, Senior Forensic Accountant, Enforcement Branch, OSC
Clare Devlin, Litigation Counsel, Enforcement Branch, OSC

Update on OSC Exempt Market Initiatives
David Surat, Senior Legal Counsel, Corporate Finance Branch, OSC
Melanie Sokalsky, Legal Counsel, Corporate Finance Branch, OSC

M&A Regulatory Update
Adeline Lee, Legal Counsel, Office of Mergers & Acquisitions, OSC