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ICP Securities Inc.

23-0043
Type: Member Notice> New Member
Distribute internally to:
Corporate Finance
Credit
Institutional
Legal and Compliance
Research
Retail
Senior Management
Trading Desk

Contact:

Wenxin Li
Membership Analyst
Telephone:
416-646-7252
Email:
Email

ICP Securities Inc. is admitted to membership in the New Self-Regulatory Organization of Canada, effective March 30, 2023.

The head office is located at
155 Richmond Street East, Toronto, Ontario, Canada, M5C 1N9.
Head Office Telephone: +1 416-319-3563

The Executives are:

  • CLARK, Ian William – UDP, Executive, CEO, Director (Industry)
  • CAMPBELL, David Bernard – President, Executive, Director (Industry)
  • DAVIES, Gregory Leonard – Chief Financial Officer, Executive
  • SETO, Tomas Yu Hsiung – Chief Compliance Officer, Executive, Supervisor

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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