www.evercore.com Open in urlscan Pro
141.193.213.21  Public Scan

Submitted URL: https://evercore.email.streetcontxt.net/platform/al?a=8930724&ad=1872903013&h=ETWeqj6&sig=P3jiwn4UPebfJmit55B9bIJkX6Z&v=2&url=https://ww...
Effective URL: https://www.evercore.com/important-regulatory-information/
Submission: On July 08 via api from NL — Scanned from NL

Form analysis 1 forms found in the DOM

GET https://www.evercore.com

<form aria-hidden="true" role="search" method="get" class="wp-block-search" action="https://www.evercore.com">
  <input aria-label="Search Site" type="search" class="wp-block-search__input" placeholder="Search …" value="" name="s" tabindex="10">
  <button type="submit" class="wp-block-search__button" tabindex="10">Search</button>
</form>

Text Content

Evercore uses cookies to give you the best experience on our website. Some of
the cookies we use cannot be switched off in our systems and you may wish to
consider and adjust your browser settings to suit your preferences in relation
to such cookies, or alternatively you may wish to reject all cookies. None of
the cookies used on our website store any information that directly identifies
you. Review our cookie policy.

Customize Reject All Accept Cookies
Customize Consent Preferences

We use cookies to help you navigate efficiently and perform certain functions.
You will find detailed information about all cookies under each consent category
below.

The cookies that are categorized as "Necessary" are stored on your browser as
they are essential for enabling the basic functionalities of the site. ... Show
more

NecessaryAlways Active

Necessary cookies are required to enable the basic features of this site, such
as providing secure log-in or adjusting your consent preferences. These cookies
do not store any personally identifiable data.

 * Cookie
   cookieyes-consent
 * Duration
   1 year
 * Description
   
   CookieYes sets this cookie to remember users' consent preferences so that
   their preferences are respected on subsequent visits to this site. It does
   not collect or store any personal information about the site visitors.

 * Cookie
   __cf_bm
 * Duration
   1 hour
 * Description
   
   Used by the content network, Cloudflare, to identify trusted web traffic.

 * Cookie
   wordpress_test_cookie
 * Duration
   Session
 * Description
   
   Used by WordPress to probe the ability of WordPress to set cookies.

Functional

Functional cookies help perform certain functionalities like sharing the content
of the website on social media platforms, collecting feedback, and other
third-party features.

No cookies to display.

Analytics


Analytical cookies are used to understand how visitors interact with the
website. These cookies help provide information on metrics such as the number of
visitors, bounce rate, traffic source, etc.

 * Cookie
   _ga
 * Duration
   13 months
 * Description
   
   Registers a unique ID that is used to generate statistical data on how the
   visitor uses the website.

 * Cookie
   _ga_GGD1G5TLF9
 * Duration
   13 months
 * Description
   
   Used by Google Analytics to throttle request rate.

Performance

Performance cookies are used to understand and analyze the key performance
indexes of the website which helps in delivering a better user experience for
the visitors.

No cookies to display.

Advertisement

Advertisement cookies are used to provide visitors with customized
advertisements based on the pages you visited previously and to analyze the
effectiveness of the ad campaigns.

No cookies to display.

Reject All Save My Preferences Accept Cookies
Skip to content
Evercore Toggle search Toggle navigation

Explore

 * Home
 * Who We Are
   * Overview
   * Core Values
   * Leadership
   * Board
 * Our Businesses & Capabilities
   * Investment Banking
     * Strategic Advisory
     * Liability Management & Restructuring
     * Capital Markets Advisory
     * Private Capital Advisory & Fundraising
   * Equities
     * Research
     * Sales & Trading
     * Corporate Access & Conferences
   * Wealth Management
 * Our Transactions
 * Our Team
   * Investment Banking
   * Equities
   * Wealth Management
   * Corporate Group Leadership
   * Alumni Network
 * Our Impact
   * Diversity, Equity and Inclusion
     * Our Commitment
     * Focus Areas
     * Global Diversity Council
   * Community
   * Sustainability
   * Evercore Foundation
 * Careers
   * The Evercore Difference
   * Students & Graduates
   * Professionals
   * Benefits
 * Media
 * Investor Relations
   * Overview
   * Corporate Governance
     * Board of Directors
     * Governance Documents
   * Financials & Filings
     * SEC Filings
     * Quarterly Results
     * Annual Reports
     * Sustainability
   * News Releases & Events
     * News
     * Events & Presentations
   * Resources
     * Online Investor Kit
     * Information Request
     * Analyst Coverage
     * Stock Information
 * Join Our Team
   * Students & Graduates
   * Professionals
 * Contact Us

Back


IMPORTANT REGULATORY INFORMATION

Investment Banking Advisory and Institutional Equities | Investment Management


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) 266-9034British 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) 681-1825Manitoba
Taylor McCaffrey LLP
200 Portage Ave, Unit 201
Winnipeg, Manitoba R3B 3L3
Attention: Kristen Wittman
T: (204) 949-1312 F: (204) 957-0945New Brunswick
McInnes Cooper
1 Germain St., Suite 1700
Brunswick Square
Saint John, NB E2L 4V1
Attention: Jeffrey Hoyt
T: 506.643.6500 F: 506.643.6505Newfoundland
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: 709.722.1763Nova Scotia
McInnes Cooper
1969 Upper Water Street, Suite 1300
Halifax, Nova Scotia
B3J 3R7
Attention: Jeffrey Hoyt
T: 902.368.8473 F: 902.368.8346Ontario
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) 947-0866Prince Edward Island
McInnes Cooper
141 Kent St., Suite 300
McInnes Cooper Building
Charlottetown, PE C1A 1N3
Attention: Jeffrey Hoyt
T: 902.368.8473 F: 902.368.8346Quebec
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) 397-3222Saskatchewan
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 UK.

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 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:
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.

 2. 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.

 3. 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.



Explore


 * Home
 * Who We Are
 * Investment Banking
 * Equities
 * Wealth Management
 * Our Transactions
 * Our Team
 * Careers
 * Diversity, Equity and Inclusion
 * Community
 * Sustainability
 * Evercore Foundation

Resources


 * Media
 * Investor Relations
 * Join Our Team
 * Contact Us

 * LinkedIn



--------------------------------------------------------------------------------



U.S. Investment Banking and Evercore ISI businesses are conducted through
Evercore Group L.L.C., a member of FINRA and SIPC

Terms and Conditions Important Regulatory Information Global Privacy Notice

Alert - Potential Fraud Involving Mexico Timeshares
Alert - Potential Fraud Involving Employment Offers

© Copyright 2024, Evercore. All rights reserved.


×
Search