Regulatory

Impacted International Mailing to Affected Recipients in an Affected Jurisdiction

Dear Valued Clients,

Please note that due to the current conditions, postal services can no longer accept or deliver international mail to a number of countries (listed in the below PDF). If you reside in an affected jurisdiction and have opted for e-delivery, you should see no disruptions to your delivery service. If you reside in an affected jurisdiction and have not opted for e-delivery, but we have an email for you on our records, we will attempt to enroll you in full e-delivery via NetX Investor (for Pershing clients) or digital banking (for EFG Bank clients), in order to deliver all communications, including but not limited to: statements, confirms, advices, tax documents, valuations, disclosures, and other regulatory notices. Note that you will receive email instructions regarding access or activation steps required in order for you to view your documents and communications.

If you reside in an affected jurisdiction, have not opted for e-delivery and have no email on record, we will make reasonable efforts to contact you to obtain a registered e-mail address and also to obtain your consent to electronic delivery. If we are unable to obtain a registered e-mail address and/or your consent to e-delivery, we will hold all aforementioned documents temporarily and send a paper copy of such documents upon resumption of service to the Affected Jurisdiction.

For those residing in a jurisdiction not affected by the physical mail disruption receiving physical mail, you should see no disruptions to your delivery service.

Affected Jurisdictions (as of 15 July 2020)

Please check the list below and the USPS site (https://about.usps.com/newsroom/service-alerts/international/welcome.htm) for the most up to date information regarding Affected Jurisdictions.

Form ADV Part 2 Annual mailing

Dear Valued Clients,

Please note that due to the current conditions, some of you may experience a delay in receiving the Summary of Form ADV Part 2 (“Brochure”). As a reminder, the Brochure provides updates on material and personnel changes within EFG Asset Management Americas and is filed with the SEC on an annual basis. If you have opted for e-delivery, you should have already received the Brochure in your inbox. If you opted for e-delivery and have not received it, please first check your spam/junk box then check with your CRO to ensure your correct email is on file. For those receiving physical mail, please rest assured we are working our best to ensure you receive the Brochure in a timely manner while keeping the safety of all in mind.

SEC Rule 606

The following link leads to the SEC Rule 606 Report for our Pershing LLC custodian accounts. Please use EFG Capital International Corp, our Broker-Dealer's full name, in order to pull the report.

https://www.orderroutingdisclosure.com/orderrouting/jsp/main/NYSE.jsp

The following link leads to the SEC Rule 606 Report for our EFG Bank custodian accounts.

Reports prior to 2020

Reports for 2020 onward