Fort Capital Securities Ltd.

Fort Capital Securities Ltd. (FCSL) is an Exempt Market Dealer, registered with the securities commissions and regulatory bodies of British Columbia, Alberta, Saskatchewan, Manitoba, Ontario and Quebec.

FCSL has registered Dealing Representatives in each of its offices as follows:

Vancouver

Dave Bustos

Partner

Investment Banking
Dealing Representative

Mike Burtch

Partner

Investment Banking
Dealing Representative

Jack Chang

Partner

Industrial & Climate Tech
Dealing Representative

Duncan Baird

Partner

Investment Banking
Dealing Representative

Geoff Bertram

Partner

Alternative Investments
Dealing Representative

Christie McCullough

Partner

Credit Advisory
Dealing Representative

Alex Rothwell

Partner

Capital Markets Advisory
Dealing Representative

Paul Austin

Partner

Industrial & Climate Tech
Dealing Representative

Aleem Jinnah

Partner

Investment Banking
Dealing Representative

Matt Kington

Associate Partner

Investment Banking
Dealing Representative

Alaina Wong

Corporate Engagement & Events Manager

Dealing Representative

Jim McGovern

Senior Advisor

Dealing Representative

Taylor Carter

Vice President

Investment Banking
Dealing Representative

Calgary

Brian Petersen

Partner

Investment Banking
Dealing Representative

Toronto

Jonathan Hess

Partner

Investment Banking
Dealing Representative

Vanessa Hutton

Associate Partner

Investment Banking
Dealing Representative

Norman MacDonald

SENIOR ADVISOR

Natural Resources
Dealing Representative

Andrew Duckman

Partner

Investment Banking
Dealing Representative

Overview of Client Focused Reforms and Conflicts of Interest Disclosures

The Canadian securities regulators are enhancing their rules to better support your interests as a client. These enhanced rules are based on the fundamental concept that your interests must always come first. At FCSL our goal is to maintain the client’s best interests in everything we do. These new rules require us to provide enhanced disclosure so that you have greater visibility into the efforts we make to always act in your best interests.

FCSL is an Exempt Market Dealer regulated by the British Columbia Securities Commission and the other relevant provincial securities regulators where we are registered.

How We Manage of Conflicts of Interest

In general, we deal with and manage relevant conflicts as follows:

  • Disclosure: Providing you with information about conflicts, allowing you to assess their significance when evaluating our services.
  • Control: We manage acceptable conflicts through means such as policies and procedures.
  • Avoidance: This includes avoiding conflicts that are prohibited by law as well as conflicts that cannot effectively be addressed.

 

At FCSL, we have adopted policies and procedures to assist in identifying conflicts of interest. Conflicts deemed too significant to be addressed through controls or disclosures will be avoided.  If the conflict cannot be avoided, we will control the conflict with policies and processes, and where it will assist in managing the conflict, we will provide disclosure to you in order to explain how we manage the conflict in your best interests. This disclosure will help you understand the nature of your relationship with FCSL. A full list of specific material conflicts of interest and how we address such conflicts are described here.