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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.

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