Registrations and Exemptions

Registrations and Exemptions

Registrations and Exemptions

Fiera Capital Corporation (“Fiera Capital“) and certain of its subsidiaries are registered in various jurisdictions as more fully described below.

Canada

Fiera Capital and its subsidiaries are registered in the following categories in order to provide asset management services to clients residing in Canada:

 

BC

AB

SK

MB

ON

QC

NB

PEI

NS

NFLD

YK

NWT

NU

Portfolio Manager

Exempt Market Dealer

Investment Fund Manager

       

     

     

Derivatives

 

 

 

(1)

(2)

(3)

 

 

 

 

 

 

 

In addition, Fiera Capital Inc. (« FCI ») relies on the international investment fund manager registration exemption in Québec, Fiera Capital (UK) Limited (“Fiera UK”) relies on the international investment fund manager registration exemption in Ontario and Québec, and the international dealer exemption in British Columbia, Ontario and Québec.

 

United States

The following registrations and authorizations are held by Fiera Capital’s subsidiaries or Fiera Capital (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.

 

 

Investment Adviser (1)

US
Broker-
Dealer (1)

Commodity
Pool
Operator (2)

Participating
Affiliate (3)

Exempt
Reporting
Adviser (4)

Exempt
Commodity
Pool Operator (5)

Exempt
Commodity
Trading
Advisor (6)

Fiera Capital

 

 

 

 

 

 

FCI

 

 

 

 

 

 

Fiera UK

 

 

 

 

Fiera Capital (Asia)
Singapore Pte Ltd.

 

 

 

 

 

Fiera Capital (Asia)
Hong Kong Limited

 

 

 

 

 

Fiera Capital (Asia) L.P.

       

Fiera Infrastructure Inc.

 

 

 

 

 

 

 

Other Jurisdictions

Fiera Real Estate UK and Fiera UK are authorized and regulated by the United Kingdom Financial Conduct Authority.

Fiera Capital (Germany) GmbH is authorized and regulated by Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin).

Fiera Capital (Asia) Singapore Pte Ltd. is licensed by the Monetary Authority of Singapore for the provision of Capital Markets Services in Fund Management and Dealing in Capital Markets Products and is an ERA with the SEC and an ECTA with the CFTC.

Fiera Capital (IOM) Limited is licensed by the Isle of Man Financial Services Authority.

Fiera Capital (Asia) Hong Kong Limited is licensed by the Securities and Futures Commission of Hong Kong for the provision of Type 9 Asset Management services and is an ERA with the SEC and an ECTA with the CFTC.

Fiera Capital (Asia) is registered in the category of Registered Person with the Cayman Islands Monetary Authority and is an ERA with the SEC, and an ECPO and an ECTA with the CFTC.