Documents and Policies
Access key documents, forms and policies related to Pembroke’s services, funds and client accounts. For anything not listed here, our team is always available to help.
Table of Contents
1. Complaints
2. Financial Statements and Reports
3. Fund Facts
4. Management Reports of Fund Performance
5. Policies and Disclosures
6. Quarterly portfolio disclosures
7. Registration
Canada
Pembroke Private Wealth Ltd. is registered with the Canadian Investment Regulatory Organization (CIRO) as a mutual fund dealer and investment fund manager. Its registered representatives are authorized to take orders from clients in every province.
Pembroke Management Ltd. is incorporated under the Federal laws of Canada and registered with the Autorité des marchés financiers (AMF), the Ontario Securities Commission, the Alberta Securities Commission, the Manitoba Securities Commission, and the British Columbia Securities Commission.
These registrations permit Pembroke Management to provide discretionary portfolio management services to institutional and individual clients in those jurisdictions.
United States
Pembroke Management Ltd. is registered with the U.S. Securities and Exchange Commission (SEC) as an Investment Advisor under Section 203 of the Investment Advisers Act of 1940.
The ADV1 form, which details all pertinent information regarding the firm, has been filed with the SEC and is publicly available.
Denmark
On June 30, 2013, Pembroke Management Ltd. was granted registration by the Danish Financial Supervisory Authority to carry out investment services cross-border into Denmark.
Ireland
On August 19, 2014, Pembroke Management Ltd. was granted authorization by the Central Bank of Ireland to act as an Investment Manager to Irish authorized collective investment schemes.