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Investor Advisory Panel Agenda — August 28, 2024
| Meeting Date | Wednesday August 28, 2024 |
|---|---|
| Meeting Time | 1:00PM to 5:00PM 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 Charles Corlett, VP, Enforcement Charles Toth, VP, Complaint Intake and Operations Richard Corner, VP and Chief Policy Advisor, Member Regulation Policy Phil Devault, Director, Member Regulation Policy Susan Copland, Senior Policy Counsel, Member Regulation Policy Sheel Chaudhuri, Policy Counsel, Member Regulation Policy Tatsiana Okun, Associate General Counsel, Litigation Ian Strulovitch, Senior Corporate Counsel, General Counsel’s Office Karen Green, Senior Corporate Counsel, General Counsel’s Office |
| TIME (EST) | AGENDA ITEMS | PRESENTERS |
|---|---|---|
| 1:00 – 2:00PM | 1. IAP Research Topics Discussion | Dorothy Sanford Hélène Belleau |
| 2:00– 2:30PM | 2. Annual Enforcement Report | Charles Corlett Charles Toth |
| 2:30-2:45PM | BREAK | |
| 2:45-3:45PM | 3. Member Regulation Policy Update: Client Complaint Reporting and Handling, Internal Investigations and Other Reportable Matters | Susan Copland Sheel Chaudhuri Richard Corner Phil Devault |
| 3:45-4:15PM | 4. Update on Arbitration and Disgorgement Proposals | Tatsiana Okun Ian Strulovitch Karen Green |
| 4:15-5:00PM | 5. General Administrative Matters | Karen McGuinness Dorothy Sanford |