Investment Banking

Notice to Canadian investors

Clarksons Securities is relying on the International Dealer Exemption (the “Exemption”) pursuant to the Canadian National Instrument 31-201 (Registration Requirements and Exemptions) (the “NI”). 

This disclosure is in connection with your account(s) and transactions with, and relevant services and products offered by or through:
Clarksons Securities AS
Clarksons Securities, Inc. 
Clarksons  Securities AS, London Branch
together referred to as the “Clarksons Securities Entity”.

Please note that if you are a client domiciled in Canada, when any Clarksons Securities Entity trades with you, it does so in reliance upon the Exemption from the dealer registration requirement. Pursuant to the Exemption, each Clarksons Securities Entity is subject to trading restrictions, including among other things, that each Clarksons Securities Entity 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 and created under the laws of a foreign (i.e. non-Canadian) jurisdiction or a security issued by a government of a foreign jurisdiction. A “permitted client” is a Canadian financial institution/bank, a Canadian advisor, investment dealer, mutual fund, entity organized in a foreign jurisdiction etc. 

Please also note that none of the Clarksons Securities Entities are registered as a dealer in any Canadian province or territory. 

Please see below the names and addresses of the agents for service of process of Clarksons Securities in Canada:

c/o Stikeman Elliott LLP
4300 Bankers Hall, 888-3rd Street S.W.
Calgary, Alberta T2P 5C5

British Columbia
c/o Stikeman Elliott LLP
666 Burrard Street, Suite 1700, Park Place
Vancouver, British Columbia V6C 2X8

c/o Stikeman Elliott LLP
5300 Commerce Court West
199 Bay Street
Toronto, Ontario M5L 1B9 

c/o Stikeman Elliott LLP
1155 Rene-Levesque Blvd., 40th Floor
Montreal, Quebec H3B 3V2