1. The Future (if any?) of Embedded Commissions
Michelle Alexander, Vice President and Corporate Secretary, Investment Industry Association of Canada
John Fabello, Partner, Tory’s LLP (Moderator)
John Mountain, Director, Investment Funds & Structured Products, Ontario Securities Commission
May 9, 2017

2. The Future (if any?) of Embedded Commissions
1. Background to embedded commissions regulatory initiative (a) CSA/OSC perspective (b) Dealer perspective 2. The “advice gap” and implications of the CSA proposal 3. Issues regarding implementation of the proposed changes 4. Interplay between embedded commissions proposal and best interest standard proposal

3. CLS Sub-Committee Education REMINDERS
CE Credits - Conference call attendees, please send an request to
2017 EVENTS - SAVE THE DATES:
Thursday, June 1: After the Close Seminar, Faskens, Toronto
Friday, June 2: The 7th annual CLS Education Golf Tournament & Dinner, Glen Cedars Golf Course, Claremont
Thursday, June 15: Breakfast Seminar, Topic TBA, Montreal
Tuesday Sept. 26: Breakfast Seminar, Topic TBA, Toronto
Monday, Dec. 4: CLS Annual Compliance Conference, Royal York Hotel, Toronto
Tuesday Dec. 5: CLS Holiday Reception, Scotia Plaza, Toronto

4. Thank You for Attending Today’s Event
QUESTIONS?