Important Regulatory Information

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

Evercore Partners Canada Ltd. (“Evercore Canada”) provides corporate finance advisory services primarily to Canadian corporations listed on a public exchange in connection with mergers, acquisitions, divestitures, leveraged buyouts, joint ventures, recapitalizations, and other extraordinary corporate transactions. Evercore Canada does not engage in capital markets activities and does not solicit or trade securities..

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 and Europe Users

In the United Kingdom (“UK”) and Europe, this website and the information contained in it relating to Investment Banking Advisory are made available by Evercore Partners International LLP (registered in the U.K. with company no. OC357957) (“Evercore UK & Europe”), whose registered office is: 15 Stanhope Gate, London, W1K 1LN. Evercore UK & Europe is authorised and regulated in the U.K. by the Financial Conduct Authority (“FCA”) with Firm Reference Number: 532714. Evercore UK & Europe is registered for Value Added Tax purposes and has VAT identification number: 108268711.

Evercore UK & Europe 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 GmbH is a subsidiary of Evercore UK & Europe 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: legalcompliancegermany@evercore.com). 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:

  1. 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.

  1. 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.

  1. 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.

In the UK and Europe, this website and the information contained in it relating to sales and research activities are made available by Evercore ISI International Limited (registered in the U.K. with company no. 07610874) (“Evercore ISI UK & Europe”), whose registered office is at 15 Stanhope Gate, London, W1K 1LN. Evercore ISI UK & Europe is authorised and regulated in the U.K. by the FCA with Firm Reference number: 575376. Evercore ISI UK & Europe 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 UK and/or the European Union.

The information featured on this website may relate to services of an entity/person incorporated and operating outside of the UK 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 UK 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 UK and the provision of services by them will not have the benefit of such UK regulatory protection.

Click here to read about our UK group’s tax strategy.

Click here to read about our UK group’s Modern Slavery Act statement.

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 for Sustainability-related disclosures of Evercore GmbH.

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.

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.