Important Regulatory Information
Investment Banking Advisory and Institutional Equities
United States Users
Evercore operates its U.S. Investment Banking Advisory and Institutional Equities businesses through Evercore Group L.L.C. (“Evercore Group”), which provides financial advice on mergers, acquisitions, financial restructurings, and similar corporate finance matters; conducts underwriting and private placements of securities to institutional clients; and engages in sales, trading, and research activities under the name Evercore ISI. Evercore Group does not offer or sell securities to, or carry accounts for, retail customers. Evercore Group is regulated by the Financial Industry Regulatory Authority, Inc. (www.finra.org) and the Securities and Exchange Commission (www.sec.gov). Please click here for additional important regulatory disclosures for Evercore Group.
Canada Users
In accordance with National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), Evercore Group makes the following representations:
If Evercore Group is trading with you in reliance upon the international dealer exemption from the dealer registration requirement under NI 31-103, Evercore Group is subject to trading restrictions, including, among other things, that Evercore Group is only permitted to trade “foreign securities” with “permitted clients” resident in Canada. A foreign security is a security issued by an issuer incorporated, formed or created under the laws of a foreign (i.e., non-Canadian) jurisdiction or a security issued by a government of a foreign jurisdiction. This serves to put you on notice that you should only place orders with Evercore Group for foreign securities in accordance with NI 31-103.
Evercore Group also advises you that: (a) it is not registered in the Canadian provinces to trade in securities, (b) its main office is located in New York, NY, (c) all or substantially all of its assets may be situated outside of Canada, (d) there may be difficulty enforcing legal rights against it because of the foregoing, and (e) the below list contains Evercore Group’s agent for service of process for each province in Canada:
| Alberta 152928 Canada Inc. c/o Stikeman Elliott LLP 4300 Bankers Hall 888 3rd Street S.W. Calgary, Alberta T2P 5C5 Attention: President T: 403.266.9000 F: 403.266.9034 | British Columbia 152928 Canada Inc. c/o Stikeman Elliott LLP 666 Burrard Street Suite 1700, Park Place Vancouver, British Columbia V6C 2X8 Attention: President T: 604.631.1300 F: 604.681.1825 |
| Manitoba Taylor McCaffrey LLP 200 Portage Ave, Unit 201 Winnipeg, Manitoba R3B 3L3 Attention: Kristen Wittman T: 204.949.1312 F: 204.957.0945 | New Brunswick McInnes Cooper 1 Germain St., Suite 1700 Brunswick Square Saint John, NB E2L 4V1 Attention: Jeffrey Hoyt T: 506.643.6500 F: 506.643.6505 |
| Newfoundland McInnes Cooper 10 Fort William Pl., 5th Floor Baine Johnston Centre St. John’s, NL A1C 1K4 Attention: Jeffrey Hoyt T: 709.722.8735 F: 709.722.1763 | Nova Scotia McInnes Cooper 1969 Upper Water Street, Suite 1300 Halifax, Nova Scotia B3J 3R7 Attention: Jeffrey Hoyt T: 902.368.8473 F: 902.368.8346 |
| Ontario 152928 Canada Inc. c/o Stikeman Elliott LLP 5300 Commerce Court West, 199 Bay Street Toronto, Ontario M5L 1B9 Attention: President T: 416.869.5500 F: 416.947.0866 | Prince Edward Island McInnes Cooper 141 Kent St., Suite 300 McInnes Cooper Building Charlottetown, PE C1A 1N3 Attention: Jeffrey Hoyt T: 902.368.8473 F: 902.368.8346 |
| Quebec 152928 Canada Inc. c/o Stikeman Elliott LLP 1155 René-Lévesque Ouest, 41st floor Montréal, Québec H3B 3V2 Attention: Président T: 514.397.3000 F: 514.397.3222 | Saskatchewan McDougall Gauley LLP 500 Main Street, Unit 616 Saskatoon, Saskatchewan S7H 0J6 Attention: Michael W. Milani, Q.C. T: 306.565.5117 F: 306.359.0785 |
Wrapper Exemption
Evercore Group is delivering this notice to inform you that we are relying on the exemption in section 3A.3 or 3A.4, as applicable, of National Instrument 33-105 Underwriting Conflicts (NI 33-105) from the underwriter conflicts of interest disclosure requirements of NI 33-105 for any distribution to you in the future of an eligible foreign security, as defined in NI 33-105.
If, in connection with a distribution of an eligible foreign security, as defined in Ontario Securities Commission Rule 45-501 Ontario Prospectus and Registration Exemptions or Multilateral Instrument 45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions, we deliver to you an offering document that constitutes an offering memorandum under applicable securities laws in Canada, you may have, depending on the province or territory of Canada in which the trade was made to you, remedies for rescission or damages if the offering memorandum (including any amendment thereto) contains a misrepresentation, provided that the remedies for rescission or damages are exercised by you within the time limit prescribed by the securities legislation of your province or territory. You should refer to any applicable provisions of the securities legislation of your province or territory for the particulars of these rights or consult with a legal advisor.
United Kingdom
The Evercore Group has two subsidiaries in the United Kingdom: Evercore Partners International LLP (registered in England & Wales with company no. OC357957) and Evercore ISI International Limited (registered in England & Wales with company no. 07610874).
Evercore Partners International LLP with registered office at 15 Stanhope Gate, London, W1K 1LN, United Kingdom, is authorised and regulated in the U.K. by the Financial Conduct Authority (“FCA”) with Firm Reference Number 532714. Evercore Partners International LLP is registered for Value Added Tax purposes and has VAT identification number: 108268711. Evercore Partners International LLP has a branch in Spain located at Paseo de la Castellana 36-38, 10th Floor 28046, Madrid, and is registered for Value Added Tax purposes with VAT identification number W8263872G.
Evercore ISI International Limited, whose registered office is 15 Stanhope Gate, London, W1K 1LN, United Kingdom, is authorised and regulated in the U.K. by the FCA with Firm Reference Number 575376. Evercore ISI International Limited is registered for Value Added Tax purposes with VAT identification number 108268711.
Evercore has no wealth and/or investment management businesses operating from any address in the U.K.
The information featured on this website may relate to services of an entity/person incorporated and operating outside of the U.K. or to other matters which are not regulated by the FCA. In such case, the provision of such services will not have the benefit of U.K. regulatory protections, including those provided in respect of the FCA rules. In particular, Evercore Inc. and certain of its other subsidiaries are based outside of the U.K. and the provision of services by them will not have the benefit of such U.K. regulatory protection.
Click here to read about our U.K. group’s tax strategy.
Click here to read about our U.K. group’s Modern Slavery Act statement.
Click here to read our MIFIDPRU disclosures
Click here to read our U.K. Gender Pay Gap Report for 2020.
Click here to read our U.K. Gender Pay Gap Report for 2021.
Click here to read our U.K. Gender Pay Gap Report for 2022.
Click here to read our U.K. Gender Pay Gap Report for 2023.
European Union
Evercore GmbH is a subsidiary of Evercore Partners International LLP and is a German limited liability company (Gesellschaft mit beschränkter Haftung) registered with the commercial register of the local court of Frankfurt/Main under the register number HRB 101899 with its business address in, Große Gallusstraße 18, 60312, Frankfurt am Main (phone: +49 69 7079990, email: [email protected]). Evercore GmbH is licensed and supervised by the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht) as a financial services institution with register number 10155472. Evercore GmbH is registered for Value Added Tax purposes with VAT identification number: DE300678014. Members of the management board (Geschäftsführer) are: Sarah Blomfield, Crystal Corbin, Eduard Kostadinov, and Stefan Karg. Evercore provides the following sustainability-related disclosures as required under German law:
- Statement on Sustainability Risk Policies
Evercore does not have an overarching formal policy for integrating sustainability risks into its investment decision-making and advisory processes. A further development of the policies will take place as soon as an increasing amount of sustainability-related data is available in the future.
- No Consideration of Sustainability Adverse Impacts
Evercore does not consider the adverse impacts of investments decisions on sustainability factors when providing investment advice services due to the lack of a sufficient sustainability-related data.
- Statement on Remuneration Policies
The remuneration policy does not create any incentives to take excessive sustainability risks. The Management Board and the Supervisory Board ensure that no remuneration structures are created that would cause corresponding disincentives.
Middle East Users
Evercore Advisory (Middle East) Limited (“Evercore Dubai”) is a Dubai International Financial Centre (“DIFC”) company limited by shares with a DIFC registered number 2478 and with a registered office at unit 1606, Level 16, Index Tower, DIFC, Dubai, 507204, United Arab Emirates. Evercore Dubai is regulated by the Dubai Financial Services Authority (“DFSA”) with DFSA license number F003992.
Evercore Dubai does not provide tax advice. Evercore Dubai is allowed to provide services only to Professional Clients or Market Counterparties and not Retail Clients (all terms as defined in the DFSA COB Rules).
Asia Users
Evercore Asia (Singapore) Pte Ltd, 12 Marina Boulevard, #33-01, Marina Bay Financial Centre Tower 3, Singapore 018982 (Registration Number 201321328D) is regulated by the Monetary Authority of Singapore and licensed to conduct the regulated activities of advising on corporate finance and dealing in capital markets products that are securities and collective investment schemes.
Evercore Asia Limited, Two Exchange Square, #Suite 1405-1407, Central, Hong Kong (Company Number 1367476) is regulated by the Hong Kong Securities and Futures Commission and licensed to conduct the regulated activities of advising on corporate finance, advising on securities and dealing in securities.
Australia Users
In Australia, Evercore Group is exempt from the requirement to hold an Australian financial services license under the Corporations Act in respect of the financial services it provides. Evercore Group is regulated by the Securities and Exchange Commission of the United States under United States laws, which differ from Australian laws.
Investment Management
Evercore operates its U.S. Wealth Management business through Evercore Wealth Management, LLC (“EWM”), an investment advisor registered with the SEC under the Investment Advisers Act of 1940.
Please refer to the EWM website linked above for additional important disclosures.