Registrations and Exemptions
Fiera Capital Corporation and certain of its subsidiaries are registered in various jurisdictions as more fully described below.
Canada
Fiera Capital Corporation and certain of its subsidiaries are registered in the following categories in order to provide asset management services to clients residing in Canada:
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BC |
AB |
SK |
MB |
ON |
QC |
NB |
PEI |
NS |
NFLD |
YK |
NWT |
NU |
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Portfolio Manager |
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Exempt Market Dealer |
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Investment Fund Manager |
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Derivatives |
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Notes:
- Registration as an adviser under the Commodity Futures Act (Manitoba).
- Registration as a commodity trading manager pursuant to the Commodity Futures Act (Ontario).
- Registration as a derivatives portfolio manager pursuant to the Derivatives Act (Québec).
In addition, Fiera Capital Inc. relies on the international investment fund manager registration exemption in Québec and Fiera Capital (UK) Limited relies on the international dealer exemption in British Columbia, Ontario and Québec and on the international investment fund manager registration exemption in Ontario and Québec.
United States
The following registrations and authorizations are held by Fiera Capital Corporation’s subsidiaries or Fiera Capital Corporation (in the case of the Participating Affiliate) in connection with the provision of asset management services in the United States or to U.S. clients.
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Investment Adviser (1) |
US |
Commodity |
Participating |
Exempt |
Exempt |
Exempt |
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Fiera Capital Corporation |
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Fiera Capital Inc. |
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Fiera Capital (UK) Limited |
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Fiera Capital (Asia) |
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Fiera Capital (Asia) |
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Fiera Capital (Asia) L.P. |
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Fiera Infrastructure Inc. |
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Fiera Comox Partners Inc. |
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Notes:
- Registration with the US Securities and Exchange Commission (“SEC”).
- Registration with the US Commodity Futures Trading Commission (“CFTC”).
- “Participating Affiliate” refers to a term used in relief granted by the staff of the SEC that allows US registered investment advisers to use the investment advisory resources of non-US affiliates that are not registered with the SEC. Fiera Capital Corporation has agreed to submit to the jurisdiction of the SEC and the US courts for actions arising under US securities laws in connection with its activities as a Participating Affiliate of Fiera Capital Inc.
- “Exempt Reporting Adviser” (“ERA”) refers to a term used in relief granted by the staff of the SEC that allows “private fund advisers” to act as investment advisers in the US without SEC registration provided that its US clients are limited to qualifying private funds and US AUM are less than $150 million. ERAs are subject to certain periodic SEC reporting requirements and agree to submit to the jurisdiction of the SEC and the US courts for actions arising under US securities laws in connection with their ERA activities.
- “Exempt Commodity Pool Operator” (“ECPO”) refers to a commodity pool operator (“CPO”) that requested relief for its commodity pools pursuant to certain CFTC regulations and is exempt to register as CPO.
- “Exempt Commodity Trading Advisor” (“ECTA”) refers to a commodity trading advisor (“CTA”) that requested relief for its clients and exempt pools pursuant to certain CFTC regulations and is exempt to register as CTA.
Other Jurisdictions
Fiera Real Estate Investors UK Limited and Fiera Capital (UK) Limited are authorized and regulated by the United Kingdom Financial Conduct Authority.
Fiera Real Estate Debt Strategies Limited received approval from the United Kingdom Financial Conduct Authority on December 18, 2023 to act as “Appointed Representative” under Fiera Capital (UK) Limited, permitting the European Real Estate Debt team to provide advisory services on Market in Financial Instruments Directive (MiFID).
Fiera Capital (Germany) GmbH was established in January 2021 and received a limited license from the German Federal Financial Supervisory Authority in August 2021, which became active in July 2022. Sales and distribution activities in the European Union are being conducted under this license.
Fiera Capital (Asia) Singapore Pte Ltd. is also licensed by the Monetary Authority of Singapore for the provision of Capital Markets Services in Fund Management and Dealing in Capital Markets Products.
Fiera Capital (Asia) Hong Kong Limited is also licensed by the Securities and Futures Commission of Hong Kong for the provision of Type 9 Asset Management services.
Fiera Capital (Asia) L.P. is also registered in the category of Registered Person with the Cayman Islands Monetary Authority.
Fiera Capital (UK) Limited received authorisation from the Swiss Financial Market Supervisory Authority (“FINMA”) 3 May 2024 to establish a representative office of a foreign financial institution in Switzerland, represented by Fiera Capital (Switzerland) GmbH.