Engagement

Disclaimer

Important Information

Please carefully read this important information before entering this website (the “Website”). It contains legal and regulatory notices relevant to the information contained on this Website.

Rockefeller Asset Management International Ltd (972015) is an appointed representative of Kroll Securities Ltd (466588) which is authorised and regulated by the Financial Conduct Authority.

This material may be distributed to, or directed at, only the following persons: (i) persons who are “investment professionals” as defined in article 14(5) of the FSMA 2000 (Promotions of Collective Investment Schemes)(Exemptions) Order 2001 (the “PCISE Order”); (ii) persons who are high-net-worth companies, unincorporated associations, partnerships or trusts falling within any of the categories of persons described in article 22 of the PCISE Order; and (iii) any other person to whom it may otherwise lawfully be made in accordance with the PCISE Order or rule 4.12B.7 of the Conduct of Business Sourcebook of the FCA Handbook (all such persons together being referred to as “Relevant Persons”). Persons who are not Relevant Persons must not act on or rely on this material or any of its contents. Any investment or investment activity to which this material relates is available only to Relevant Persons and will be engaged in only with Relevant Persons. Recipients must not distribute, publish, reproduce or disclose this material, in whole or in part, to any other person.

By accepting our disclaimer you agree to be bound by our terms and conditions set forth herein (“Terms and Conditions”). If you do not accept these Terms and Conditions, please do not continue to use or access any pages of this Website.

Investment Manager Information

Rockefeller & Co. LLC (the “Investment Manager”), a Delaware company is regulated by the Securities Exchange Commission in the United States. Access to this Website is restricted to retail and professional investors accepting this disclaimer and related risks of investments in such regulated schemes.

The Investment Manager has engaged its affiliate, Rockefeller Asset Management International Ltd., to provide distribution and investors servicing assistance in regard to professional investors located in the United Kingdom and other non-US jurisdictions. Rockefeller Asset Management International Ltd (972015) is an appointed representative of Kroll Securities Ltd (466588) which is authorised and regulated by the UK Financial Conduct Authority.

Manager Information

Carne Global Fund Managers (Ireland) Limited (the “Manager”) is regulated by the Central Bank of Ireland and manages regulated schemes. Access to this Website is restricted to retail and professional investors accepting this disclaimer and related risks of investments in such regulated schemes.

The Manager is also registered with the following regulatory authorities:

• The United Kingdom Financial Conduct Authority
• The U.S Securities and Exchange Commission
• The Ontario Securities Commission
• The Commission de Surveillance du Secteur Financier

Information on this Website

General

Subject to the Terms and Conditions below, the Investment Manager operates and is responsible for this Website.

Important Regulatory Information

No Advice

The information and material contained on this Website is not financial advice. The material contained in this Website is directed only at persons or entities in any jurisdiction or country where such access to information contained herein and use thereof is not contrary to local law or regulation. Accordingly, all persons who access this Website are required to inform themselves of and to comply with any such restrictions.

No Offer

Nothing on this Website constitutes or forms part of any offer to issue or sell, or any solicitation of any offer to subscribe or purchase, shares, units or other interests (“Shares”) in investments referred to herein. The information contained on this Website may not be treated as an offer of solicitation:

In any jurisdiction where such an offer or solicitation is contrary to local law.
To anyone to who it is unlawful to make such an offer or solicitation.
If the person making the offer or solicitation is not qualified to do so.

Nor shall this Website form the basis of, or be relied on in connection with, any contract for Shares. Applications to invest in any product referred to on this Website must only be made on the basis of the documentation relating to the specific investment and you should refer to your investment adviser. If you are in any doubt about the information contained on this Website, please contact us on RAMProductManagement@rockco.com, or consult a professional financial adviser.

Risks of Investing

Investing entails risks, including possible loss of principal. No representation is made that any investment or transaction will or is likely to achieve profits or losses similar to those achieved in the past, or that significant losses will be avoided. No assurances or guarantees are given regarding the performance of any investment.

Past performance may not be repeated and should not be seen as a guide to future performance. The value of investments and the income from them may go down as well as up and investors may not get back the amount originally invested. Exchange rates may cause the value of overseas investments and the income arising from them to rise or fall. The levels and bases of and reliefs from taxation may change. Any tax reliefs referred to are those currently available and their value depends on the circumstances of the individual investor. Investors should consult their own tax adviser in order to understand any applicable tax consequences.

Materials relating to the investments mentioned on this Website should be read in conjunction with a prospectus and key investor information document (available through this Website) that describes charges, expenses, and risks. Read it carefully before any investment.

Marketing

The distribution of the information on this Website may be restricted by law in certain countries. This Website and the information on it is not addressed to any person resident in the territory or country or jurisdiction where such distribution would be contrary to local law or regulation. The Investment Manager disclaims all responsibility if you access or download any information from this Website in breach of any law or regulation in the country of which you are a citizen or in which you are residing or domiciled.

Accuracy of Information

The information contained on this Website (including any expression of opinion or forecast) has been obtained from, or is based on, sources believed by the Investment Manager and its associated companies to be reliable but are not guaranteed as to its accuracy or completeness. Such information is provided without obligation and on the understanding that any person who acts upon it or changes his investment position in reliance on it does so entirely at one’s own risk. The information contained on this Website does not constitute an offer to buy or sell or an invitation to make an offer to buy or sell shares in any investment fund referred to herein. Information posted on this Website is current only as at the date it is first posted and may no longer be true or complete when viewed by you. All information contained on this Website may be changed or amended without prior notice although neither the Investment Manager nor any of its associated companies undertakes to update this Website regularly.

No Liability

This information on this Website has been prepared, approved and issued by the Investment Manager and the information and opinions contained in this Website have been compiled, or arrived at, in good faith and on the basis of publicly available information, internally developed data and sources believed to be reliable as at the date of publication. However, no representation, warranty or undertaking, express or implied, is made by the Investment Manager, its associated companies or any other person as to the reliability, accuracy or completeness of the information contained on this Website and no liability is accepted by such persons for the reliability, accuracy, fairness, or completeness of such information.

Information posted on this Website is current only as at the date it is posted and may no longer be true or complete when viewed by you. The Investment Manager cannot guarantee that content will be accurate, complete and current at all times. To the extent that any information on this Website relates to a third party, such information has been provided by that third party and is the sole responsibility of such third party and the Investment Manager accepts no liability for such information. All content on the Website is subject to modification from time to time without notice. Please contact the Investment Manager for further information regarding the validity of any information contained on this Website.

SUBJECT TO THE ABOVE PARAGRAPH, THE INVESTMENT MANAGER HEREBY EXCLUDES ALL LIABILITY FOR ANY DIRECT, INDIRECT, SPECIAL, OR CONSEQUENTIAL LOSS OR DAMAGE (IN EACH CASE INCLUDING BUT NOT LIMITED TO: BUSINESS INTERRUPTION, LOSS OF PROFITS, LOSS OF REVENUE, LOSS OF ANTICIPATED SAVINGS AND/OR LOSS OF GOODWILL) ARISING FROM, OR IN CONNECTION

• THE ACCESSING OR USE OF, OR THE INABILITY TO ACCESS OR USE, THIS WEBSITE; OR
• ANY DECISIONS YOU MAKE BASED ON THE INFORMATION, OPINIONS, ESTIMATES, AND CONTENT MADE AVAILABLE TO YOU THROUGH THIS WEBSITE; OR
• ANY WEBSITES ACCESSED VIA OR ADVERTISED ON THIS WEBSITE,

WHETHER OR NOT SUCH LOSS IS REASONABLY FORESEEABLE AS AT THE DATE YOU ACCESS THIS WEBSITE OR INVESTMENT MANAGER HAS BEEN ADVISED OF THE POSSIBILITY OF YOU INCURRING SUCH LOSS OR DAMAGE, AND WHETHER OCCASIONED BY THE NEGLIGENCE OF INVESTMENT MANAGER OR ITS EMPLOYEES, AGENTS, OR SUB-CONTRACTORS.

You should be aware that the Internet is not a completely reliable transmission medium. Neither the Investment Manager nor any of its associated companies accepts any liability for any data transmission errors such as data loss or damage or alteration of any kind, including, but not limited to any direct, indirect or consequential damage, arising out of the use of the products or services referred to herein. In addition, neither the Investment Manager nor any of its associated companies accept any responsibility for the security or confidentiality of information transmitted across the internet to or from the Investment Manager or any of its associated companies and any such transmission of information is entirely at your own risk.

Indemnity

You agree to indemnify, defend, and hold harmless the Investment Manager, its affiliates and licensors, and the officers, directors, employees, and agents of the Investment Manager and its affiliates and licensors, from and against any and all claims, liabilities, damages, losses, or expenses, including legal fees and costs, arising out of or in any way connected with your access to or use of this Website.

Material Interests

The Investment Manager, and its and/or directors, officers and/or employees may have holdings in the investment funds referred to on this Website and may otherwise be interested in transactions that you effect in those funds.

Linked Websites

This Website may be linked to third party websites or contain information provided by third parties. Neither the Investment Manager nor any of its associated companies make any representation as to the accuracy or completeness of such websites or information, have not and will not review or update such websites or information, and caution browsers that any use made of such websites or information is at their own risk. Neither the Investment Manager nor any of its associated companies accepts any liability arising out of the information contained on any linked website or information on this Website provided by a third party and the use of such websites and information is at your own risk.

Cookies

A “cookie” is a piece of information that is saved to your PC’s hard disk by the web server. Confirmation of reading and accepting these Terms and Conditions will place a cookie on your PC’s hard disk. This will ease your navigation around this Website by not popping up these Terms and Conditions again during this browser session. This cookie is temporary and will be removed when you close your browser. The cookie is not used for any other reason

Telephone Recording

The Investment Manager (or any member of the Investment Manager’s worldwide group of companies) may monitor and record telephone conversations to check and verify instructions, to maintain high quality service standards, to comply with regulatory requirements and for the security of operational and business processes.

Intellectual Property

Copyright, trademarks, database rights, patents and all similar rights in this Website and the information contained in it are owned by the Investment Manager and licensors or relevant third-party content providers. You may use the information on this Website and reproduce it in hard copy for your personal reference only. Such information may not otherwise be reproduced, distributed, stored in a data retrieval system or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior written permission of the Investment Manager. Nothing on this Website should be considered as granting any license or right under any trademark of the Investment Manager or its associated companies or any third party.

License

The Investment Manager permits users of this Website to make transient copies of it as necessary incidental acts during the viewing of it. The Investment Manager also permits users to download or print a hard copy of individual pages and/or sections of this Website for their own use, provided that users do not remove any copyright or other proprietary notices and that such copies are for the user’s own individual use.

You may not modify, copy, distribute, transmit, post, display, perform, reproduce, publish, license, create derivative works from, transfer, or sell any pages, data, information, software, products, content, or services obtained from this Website, unless you have obtained the prior written permission of the Investment Manager. You may not link to this Website, nor frame it, without the express written permission of the Investment Manager.

Downloading Software and Files

If you download software or files from this Website, the software, including any files or images incorporated in or generated by the software and data accompanying the software, and files (collectively, the “Files”) are licensed to you by the Investment Manager solely for your personal, non-commercial use. However, the Investment Manager does not transfer title in the Files to you. You own the medium on which the Files are recorded, but the Investment Manager and its licensors retain full and complete title in and to the Files, including all intellectual property rights therein. Save as otherwise permitted by applicable law, you may not redistribute, sell, decompile, reverse engineer, disassemble, or otherwise reduce the Files to any other form whatsoever.

Termination

The rights granted to you herein terminate immediately upon any violation by you of these terms of use. The Investment Manager reserves the right to terminate your access to this Website at any time, without notice, for any reason whatsoever. You agree that the Investment Manager shall not be liable to you or any third party for any termination of your access to this Website.

Governing Law

Your use of this Website and downloads from it and the operation of these Terms and Conditions shall be governed by and interpreted in accordance with the laws of Ireland. The Irish Courts shall have exclusive jurisdiction over any dispute arising out of your use of this Website. If any provision in these Terms and Conditions is deemed unlawful, invalid, or for any reason unenforceable, then that provision will be deemed severed from, and will not affect the validity and enforceability of, the remaining provisions.

These Terms and Conditions represent the entire agreement between the Investment Manager and the user relating to the subject matter herein.

Fund Information

Rockefeller Capital Management UCITS ICAV has been authorized by the Central Bank of Ireland as an “Undertaking for Collective Investment in Transferable Securities” (“UCITS”) under the UCITS Regulations and has been established as an Irish collective asset-management vehicle, constituted as an umbrella fund with segregated liability between Funds and will comply with the Central Bank UCITS Regulations.

Conditions of Use

If you have read and understood these conditions of use you may click the “AGREE” button below to proceed. By doing so you acknowledge that you understand the conditions of use and agreed to abide by them.

By clicking “AGREE” below this will certify that you have read the above Terms and Conditions and that you understand and agree that:

Nothing contained on this Website is deemed to be an offer to sell;
Investments are subject to risk and can gain or lose money; and
Some or all investment services or products may not be available to you in your jurisdiction.