Score

6.62 /10
Average

Laurentian Bank Securities

Regulated in Canada

Market Making(MM)

Suspicious Scope of Business

Medium potential risk

C

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Exposure

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Score

Regulatory Index6.32

Business Index6.95

Risk Management Index8.90

Software Index5.69

License Index6.32

Time Machine
Website

Licenses

VPS Standard
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Single Core

1G

40G

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Regulatory disclosure

Sanction

CA FINTRAC
2022-04-29

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Laurentian Bank Securities · Company summary

General Information & Regulation of LBS

Laurentian Bank Securities(LBS), founded in 1991, is a Canadian integrated investment dealer serving clients through research, trading, and investment banking in the small-capitalization sector, with 13 offices in Quebec. In addition, Laurentian Bank Securities offers the Immigrant Investor program and is a member of the Canadian Investor Protection Fund (CIPE), as well as the Montreal Exchange, the Toronto Exchange, and the Canadian Venture Exchange. Laurentian Bank Securities is currently regulated by the Investment Industry Regulatory Organization of Canada (IIROC) and holds a full license under its authority and permit.

Retail Division of LBS

The products and services of the retail division are primarily equities (North American, international, preferred stocks), mutual funds (equity funds, bond funds, dividend funds, special funds), fixed income (government bonds, provincial bonds, municipal bonds, corporate bonds, zero-coupon bonds), financial and retirement plans (Registered Retirement Savings Plan, Registered Retirement Income Fund Life Income Fund, Individual Pension Plan), insurance (life, long-term care, critical illness, annuities, insurance annuities), and options. Unregistered accounts include cash accounts, margin accounts, option accounts, short sale accounts, joint accounts; other accounts include corporate accounts, ownership accounts, investor club accounts, estate & trust accounts.

Institutional Services of LBS

Services for institutions include equity, foreign exchange, structured products, mutual funds/pooled funds, fixed income, options (CAD, USD), futures (CAD, USD), trade compression, direct markets, account management, dividends, and dividends.

Corporate Finance of LBS

Laurentian Bank Securities conducts leading capital markets transactions for small and mid-sized Canadian issuers, providing access and guidance to capital markets, offering solutions such as public offerings (initial, capital, subordinated), private placements, venture capital, advisory services (capital structure, M&A).

Fixed Income of LBS

Laurentian Bank Securities is the Bank of Canada's primary dealer for Canadian bonds and treasury bills and the liquidity provider for CanDeal's dealer-to-client electronic trading system, offering a range of Canadian mortgage securities, corporate bonds, asset-backed bonds, and other bonds.

Discount Brokerage of LBS

Laurentian Bank Securities offers a wide range of accounts and services for registered accounts, including cash accounts, margin accounts, option accounts, short sale accounts, joint accounts; self-registered accounts including free savings accounts, registered retirement savings plans, registered retirement savings plans, registered retirement income funds, etc.; other accounts including corporate accounts, sole proprietorship accounts, LIF life-income accounts, etc.

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