“[Securities rules] impose important responsibilities on broker-dealers to minimize the risk of fraud in the securities they sell to customers,” said Daniel Michael, chief of the SEC’s complex financial instruments unit.

The firm's practice covers a broad range of industries including: aerospace & defence, agriculture, clean technology & sustainability, consumer & retail, energy, financials, health care & life sciences, infrastructure, leisure, media & telecommunications, metals & mining, real estate & hospitality, technology, transportation & industrials, and private equity.

© 2020 Canaccord Genuity (Australia) Limited AFS Licence 234666, Canaccord Genuity Financial Limited AFSL 239052. Every day, get the financial news that matters in your inbox. [13], In 2012, Canaccord Financial acquired Collins Stewart Hawkpoint for $400m acquiring "an independent financial advisory firm with research, trading and wealth management operations. Our diverse team of capital markets and advisory professionals has deep industry and transactional expertise in key growth sectors of the global economy. The U.S. Securities and Exchange Commission (SEC) settled with the U.S. subsidiary of Canaccord Genuity, which consented to an order that it cease and desist from committing violations.

Global Capital MarketsInvestor RelationsWealth Management:  UK  |  CA. Canaccord Genuity Group Inc. is a global, full-service investment banking and financial services company that specializes in wealth management and brokerage in capital markets. "[1], In 2019, Canaccord Genuity Wealth Management's total client assets Canada, the UK & Europe amounted to $68.9 billion in assets under management in Canada, the UK & Europe, and Australia at the quarter ended June 30, 2020.

By accepting this notice and continuing to browse our website you confirm you accept our Terms of Use & Privacy Policy. document.write(CurrentYear) Canaccord Genuity Group Inc. is publicly traded under the symbol CF on the TSX. SEC settles with Canaccord over gatekeeping deficiencies, The firm settled the case without admitting or denying the allegations. Landmark transactions have included advising Amaya Gaming Group in its $4.9 billion acquisition of PokerStars and Full Tilt Poker, advising Yamana Gold's $3.9 billion joint acquisition with Agnico Eagle of Osisko Mining, advising Primaris REIT's hostile defence and $5.0 billion sale to H&R REIT and KingSett Capital led consortium, advising Viterra's $6.1 billion sale to Glencore,[27] and advising the $2.2 billion cross-border sale of Daylight Energy to Sinopec, a unit of China Petrochemical Corp.[28] It has also advised on GLENTEL's $670 million sale to Bell Canada in 2014, and the sale of Canada Goose to Bain Capital. With respect to NMS stocks, as defined in Rule 600 of SEC Regulation NMS, Canaccord Genuity LLC may send orders for NMS stocks to other market centers on an agency basis. Newcom Media Inc. We use cookies to make your website experience better. Howe, Why women are less likely to become financial advisors, U.S. positioned for more spending, regulation and political gridlock, Boosting fixed-income returns with liquid alternatives.

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