Service Providers

At LionGuard Capital Management Inc., we only work with the industry’s leading service providers. All of our partners are well-established and reputable in their respective fields of expertise.

Legal Counsel

Borden Ladner Gervais (BLG) is one of Canada’s most respected legal firms. BLG has well-developed legal practice for investment management industry with extensive experience dealing with self-regulatory organizations and provincial government regulators.

Prime Broker & Custodian

TD Securities Inc. (TDSI) Prime Brokerage is one of the market leaders in Canada. Clients include buy-side money managers, hedge funds and others. TDSI is also a Custodian for our Clients assets, which are therefore held directly by TDSI.

Custodian

Northern Trust is one of the world’s largest custodians with over $10 trillion of assets under custody/administration. It serves the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

Auditor

PricewaterhouseCoopers (PWC) is one of Canada’s oldest and most reputable accounting firms. PWC is the official auditor of LionGuard Capital Management Inc.

Fund Administrator

SGGG Fund Services Inc. is one of Canada’s leading Fund Administrators with total Assets Under Administration in excess of C$30.1 billion. SGGG works with more than 250 fund managers who serve more than 435,000 investor accounts.

Product Distribution

Fundserv is a link to the investment industry. In addition to its network and workflow applicaitons, Fundserv leads and facilitates industry committees and working groups that promote automation initiatives and establish the industry’s electronic standards.

Financial Research & Analysis

Bloomberg is one of the world’s leading providers of financial software for investment professionals.

Financial Research & Analysis

FactSet creates flexible, open data and software solutions for tens of thousands of investment professionals around the world, providing instant access to financial data and analytics that investors use to make crucial decisions.

 

Legal Disclaimer

Accredited Investor Status Questionnaire

Units of the Funds are offered to qualified investors resident in the provinces and territories of Canada (the “Offering Jurisdictions”) pursuant to applicable exemptions from the prospectus requirements of the securities laws in the Offering Jurisdictions. Qualified investors must rely on one of the following exemptions available to purchase units of the Funds:

1. ACCREDITED INVESTOR EXEMPTION:
The Funds will accept subscriptions from investors who qualify as an “accredited investor” under the meaning of National Instrument 45-106 Prospectus  Exemption ("NI 45-106") or, for Ontario residents, Section 73.3 of the Securities Act (Ontario). Some of the most common ways to qualify as an accredited investor are:

(d) a person registered under the securities legislation of a jurisdiction of Canada as an adviser or dealer;

(e) an individual registered or formerly registered under the securities legislation of a jurisdiction of Canada as a representative of a person referred to in paragraph (d);

(j) an individual who, either alone or with a spouse, beneficially owns financial assets having an aggregate realizable value that before taxes, but net of any related liabilities, exceeds $1,000,000;

(k) an individual whose net income before taxes exceeded $200,000 in each of the 2 most recent calendar years or whose net income before taxes combined with that of a spouse exceeded $300,000 in each of the 2 most recent calendar years and who, in either case, reasonably expects to exceed that net income level in the current calendar year;

(Note: If individual accredited investors wish to purchase through wholly-owned holding companies or similar entities, such purchasing entities must qualify under section (t) below, which must be initialed.)

(l) an individual who, either alone or with a spouse, has net assets of at least $5,000,000;

(m) a person, other than an individual or investment fund, that has net assets of at least $5,000,000 as shown on its most recently prepared financial statements;

(n) an investment fund that distributes or has distributed its securities only to:

(i) a person that is or was an accredited investor at the time of the distribution,

(ii) a person that acquires or acquired securities in the circumstances referred to in sections 2.10 [Minimum amount investment] or 2.19 [Additional investment in investment funds] of NI 45- 106, or

(iii) a person described in paragraph (i) or (ii) that acquires or acquired securities under section 2.18 [Investment fund reinvestment] of NI 45-106;

(o) an investment fund that distributes or has distributed securities under a prospectus in a jurisdiction of Canada for which the regulator or, in Québec, the securities regulatory authority, has issued a receipt;

(p) a trust company or trust corporation registered or authorized to carry on business under the Trust and Loan Companies Act (Canada) or under comparable legislation in a jurisdiction of Canada or a foreign jurisdiction, acting on behalf of a fully managed account managed by the trust company or trust corporation, as the case may be;

(q) a person acting on behalf of a fully managed account managed by that person, if that person is registered or authorized to carry on business as an adviser or the equivalent under the securities legislation of a jurisdiction of Canada or a foreign jurisdiction;

(r) a registered charity under the Income Tax Act (Canada) that, in regard to the trade, has obtained advice from an eligibility adviser or an adviser registered under the securities legislation of the jurisdiction of the registered charity to give advice on the securities being traded;

(s) an entity organized in a foreign jurisdiction that is analogous to any of the entities referred to in paragraphs (a) to (d) or paragraph (i) in form and function;

(t) a person in respect of which all of the owners of interests, direct, indirect or beneficial, except the voting securities required by law to be owned by directors, are persons that are accredited investors;

(u) an investment fund that is advised by a person registered as an adviser or a person that is exempt from registration as an adviser, or;

(v) a person that is recognized or designated by the securities regulatory authority or, except in Ontario and Québec, the regulator as an accredited investor.