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

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