Legal Information

About Affiliated Managers Group, Inc. (AMG)

Affiliated Managers Group, Inc. (NYSE:AMG) is a leading partner to independent investment management firms globally. AMG’s strategy is to generate long-term value by investing in a diverse array of high-quality independent partner-owned firms, through a proven partnership approach, and allocating resources across AMG’s unique opportunity set to the areas of highest growth and return. AMG’s innovative partnership approach enables each Affiliate’s management team to own significant equity in their firm while maintaining operational and investment autonomy. In addition, AMG offers its Affiliates growth capital, distribution, and other strategic value-added capabilities, which enhance the long-term growth of these independent businesses, and enable them to align equity incentives across generations of principals to build enduring franchises.

Affiliated Managers Group Pty Ltd (AMG Pty Ltd)

Affiliated Managers Group Pty Ltd (AMG Pty Ltd) is a proprietary limited company incorporated in Australia (ABN 68 123 448 984; ARN 315813) whose registered office is Level 36, Gateway Tower, 1 Macquarie Place, Sydney, New South Wales 2000, Australia. AMG Pty Ltd is a wholly owned subsidiary of Affiliated Managers Group, Inc. (AMG) and is licensed and regulated by the Australian Securities and Investments Commission (ASIC) to provide general financial product advice to wholesale clients (as defined in the Corporations Act 2001) (AFSL No. 443903).

AMG Pty Ltd provides financial services, including specified client and marketing services, in Australia and New Zealand on behalf of AMG and the following Affiliates:

AMG Pty Ltd and its representatives are authorised by each of the Affiliates identified above to market their services to wholesale and institutional clients and prospective clients and to provide client services to their clients. When marketing the services and products of an individual Affiliate or when providing client services to a client of that Affiliate, in each case AMG Pty Ltd and its representatives only represent that Affiliate, and they are not authorised by and do not represent any other Affiliate in that context.

Certain Affiliates’ Reliance on Exemption from Licensing Requirement

The Class Orders exempt a registered investment adviser regulated by the US SEC (03/1100) or an adviser authorised and regulated in the UK by the FCA (03/1099) or an adviser licensed and regulated by the MAS (03/1102) from the need to hold an Australian financial services license for certain financial services provided to Australian wholesale clients on certain conditions.

Harding Loevner LP is a U.S. Securities and Exchange Commission (SEC) registered investment adviser and relies on exemptive relief provided by ASIC pursuant to ASIC Instrument No. 10/0215 (Exemptive Relief). Foyston, Gordon & Payne is a U.S. Securities and Exchange Commission (SEC) registered investment adviser and relies on exemptive relief provided by ASIC pursuant to ASIC Instrument No. 19-0093 (Exemptive Relief).

Artemis Investment Management LLP, Genesis Investment Management, LLP, Pantheon Ventures (UK) LLP and Veritas Asset Management LLP are investment advisers authorised and regulated in the UK by the Financial Conduct Authority (FCA) and rely on ASIC Class Order 03/1099. Systematica Investments Singapore Pte. Ltd. and OCP Asia Pte. Ltd. are licensed and regulated by the Monetary Authority of Singapore (MAS) and rely on ASIC Class Order 03/1102. AQR Capital Management, GW&K Investment Management, River Road, Tweedy Browne, ValueAct and Yacktman are each a US registered investment adviser and rely on ASIC Class Order 03/1100. The Class Orders and Exemptive Relief exempt the Affiliates and their representatives from the requirement to hold an Australian financial services license under the Corporations Act 2001 (Cwlth) in respect of financial services provided by them or their representatives to wholesale clients. A copy of the Class Orders and Exemptive Relief may be obtained at ASIC’s website www.asic.gov.au.

Each Affiliate and its representatives are regulated by the applicable laws of their home jurisdiction, which may differ from the applicable laws in Australia. Each of the Affiliates and their representatives are required to comply with applicable regulatory requirements and policies when providing financial services to you.

The information contained herein is for your private information and is directed at only investment professionals, large corporates and other persons to whom such communication may be lawfully made, and is not intended for distribution in any jurisdiction where AMG Pty Ltd would require any additional licence to distribute such information and does not constitute an invitation or offer to the public in respect of AMG, any Affiliate or any Affiliate’s products or services. The information provided in this presentation is for informational and educational purposes only and should not be construed as investment advice.

AMG Pty Ltd may be compensated for certain investor referrals and certain investor services provided by AMG Pty Ltd to Affiliates relating to professional clients.

As of 2023