Préfontaine Capital is registered since 2003  with the Quebec Autorité des Marchés Financiers (AMF) as a portfolio manager. Préfontaine Capital is in compliance with all applicable laws and regulations, notably Regulation 31-103 applying to securities dealers, advisors and investment fund managers in Quebec.

Préfontaine Capital is in compliance with the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC). “FINTRAC is Canada’s financial intelligence unit with the mandate of falicitating the detection, prevention and deterrence of money laundering and the financing of terrorist activities, while ensuring the protection of personal information under it’s control.”

FINTRAC REGULATION

 

Préfontaine Capital has signed the CFA Institute^TM Asset Manager Code of Professional Conduct and declares it abides by all its terms and conditions**.

Asset Manager Code of Professional Conduct

*CFA Institute is a trademark owned by CFA Institute.

** Préfontaine Capital Inc. claims compliance with the CFA Institute Asset Manager Code of Professional Conduct. This claim has not been verified by CFA Institute.

National Bank Independent Network (NBIN) acts as a custodian for Préfontaine Capital.

 

The Bank of Nova Scotia Trust Company (“Scotiatrust”) acts as a custodian for Préfontaine Capital.

Deloitte acts as an independent external auditor for Préfontaine Capital.

Fasken Martineau acts as legal counsel for Préfontaine Capital.