Mizuho Securities Canada secures IIROC membership

Maria Nikolova

Mizuho Securities Canada, Inc. is admitted to membership in the Investment Industry Regulatory Organization of Canada, effective November 28, 2019.

Mizuho Securities Canada, Inc. is admitted to membership in the Investment Industry Regulatory Organization of Canada (IIROC), effective November 28, 2019. The information was provided by IIROC in a notice published today.

The head office of the company is located at 320 Park Avenue, 12th Floor, New York, NY 10022.

The directors and executives are:

  • James Shepard – Ultimate Designated Person, Director (Industry);
  • Nicola Pomponio – Chief Compliance Officer;
  • Rajendra Prasad – Chief Financial Officer;
  • Brad Crilly – Director (Industry);
  • Gerald Rizzieri – Director (Non-Industry).

Mizuho has been expanding its global operations. Earlier in November, Mizuho Securities Europe GmbH, the Frankfurt-based group subsidiary of Mizuho Securities Co., Ltd., established a branch in Madrid, and commenced operations.

To provide sustainable and stable financial services to clients in Europe, Mizuho established Mizuho Securities Europe in Frankfurt, which commenced operations in March 2019. As FinanceFeeds reported in December 2018, the Frankfurt-based business of Mizuho Securities was granted a MiFID investment services license by Germany’s financial regulator BaFin. The aim of the move was, inter alia, to secure smooth and uninterrupted continuation of trading activities with clients in case of a hard Brexit.

Read this next

Digital Assets

BlackRock digs further into crypto with metaverse ETF

BlackRock, the world’s largest asset manager with almost $10 trillion in AUM, is set to launch a new metaverse ETF to help investors securely monetize on the booming immersive version of the internet.

Digital Assets

Binance wins license in New Zealand as rival Huobi shutters derivatives

Binance, the world’s largest crypto exchange by traded volume, has obtained licenses to operate in New Zealand, even after rival Huobi shutdown derivatives trading last month due to concerns about regulations.

Retail FX

Hong Kong busts perpetrators of ‘ramp and dump’ scam

Hong Kong’s financial watchdog, the Securities and Futures Commission (SFC), has charged thirteen suspects of market manipulation in a joint operation with the local police.

Institutional FX

TradingView integrates market data from German Tradegate exchange

TradingView announced that it ‎has increased data coverage to allow its users to receive information from ‎and get free access to the intra-day and tick data from Tradegate Exchange.

Retail FX

Spotware Systems introduces Custom Push Notifications for cTrader mobile apps

Spotware Systems, a technology provider for the electronic trading industry, is introducing a new push notification feature to alert mobile users of price swings and market fluctuations through their cTrader app.

Market News

The Week Ahead: 30 September from David Madden, Market Analyst at Equiti Group

Sterling dominated the headlines last week, as there were concerns the UK government might struggle to service its debt.

Inside View

How does the quality of signal providers affect your business?

A must-have onboarding process for brokers with investment services like PAMM, MAM, or copy trading


DBS deploys Nasdaq Trade Surveillance

“The confidence that markets and our clients have in DBS as a safe and trusted banking group is anchored on our ability to detect and respond to anomalous activity, which in turn calls for a robust surveillance and prevention infrastructure.”

Industry News

SEC charges Justin Costello and David Ferraro for securities fraud and posing as billionaire veteran

The Securities and Exchange Commission charged Cannabis executive Justin Costello and David Ferraro, an associate of Costello’s, for promoting the stock of several microcap companies on social media without disclosing their own simultaneous stock sales as market prices rose.