3iQ Terms of Service

Last updated: June 22, 2021

TERMS OF SERVICE

Information contained on this website is believed to be accurate and reliable; however, we cannot guarantee that it is accurate or complete or current always. The information provided is subject to change without notice and 3iQ Corp. will not be held liable for inaccuracies in the information presented.  By accessing and using this website you agree to its Terms and Conditions.  Please ensure you read them and understand them. Every time you access this Website you will be deemed to have read and accepted the Terms and Conditions. Your continued access or use of the services provided via this website will mean you accept these Terms and Conditions including any changes made to them.

The contents of this website are provided for informational and educational purposes, and are not intended to provide specific individual advice including, without limitation, investment, financial, legal, accounting or tax.

3iQ and its affiliates do not accept responsibility for any loss arising from the use of, or reliance on, the information contained herein.  If you do not agree with these Terms and Conditions, please do not use this Website.

You may not use or export or re-export any of the information contained in this Website or copy any part in violation of any applicable laws or regulations, including export laws and regulations of Canada.

AVAILABILITY OF PRODUCTS & SERVICE

The communication contained in it, is not, and under no circumstances is to be construed as an invitation to make an investment in any funds (“Funds”) managed by 3iQ, or does it constitute a public offering, solicitation or an offer to sell the Funds or buy or sell any other securities to whom or any jurisdiction it may be unlawful to do so.  All materials herein are for informational purposes only.   Although every effort has been made to ensure that the content herein is accurate, 3iQ does not guarantee its accuracy or completeness. It should not be relied on as a forecast of financial information nor is it indicative of future performance.  It should not be considered as advice nor a recommendation to investors or potential investors in relation to holding, purchasing or selling securities or other financial products or instruments; and does not consider your investment objectives, financial situation or needs.   Please consult with your own professional advisor on your particular circumstances.

Access to information about the Funds is limited to eligible investors.  Before acting on any information you should consider the appropriateness of the information having regard to these matters, any relevant offer document, and you should seek independent financial advice.

Products and services advertised on this Website are subject to the terms of the applicable legislation governing them; and available in jurisdictions where they may be legally offered. 

RISK & FORWARD-LOOKING STATEMENTS

All securities and financial product or instrument transactions involve risks, which include the risk of adverse or unanticipated market, financial or political developments and, in international transactions, currency risk.  3iQ does not undertake any obligation to publicly release the result of any revisions to these forward-looking statements to reflect events or circumstances after the date hereof to reflect the occurrence of unanticipated events. While due care has been used in the preparation of forecast information, actual results may vary in a materially positive or negative manner. Forecasts and hypothetical examples are subject to uncertainty and contingencies outside 3iQ’s control.  This website may contain forward-looking statements including statements regarding our intent, belief or current expectations with respect to 3iQ’s businesses and operations, market conditions, results of operation and financial condition, capital adequacy, specific provisions and risk management practices. Readers are cautioned not to place undue reliance on these forward-looking statements.

Commissions, trailing commissions, management fees and expenses all may be associated with mutual fund trust investments. Please read the offering memorandum before investing. The indicated rates of return are the historical annual compounded total returns including changes in unit value and reinvestment of all dividends or distributions and do not consider sales, redemption, distribution or optional charges or income taxes payable by any security holder that would have reduced returns. Performance returns are not guaranteed, their values change frequently and past performance may not be repeated.

The payment of any distributions should not be confused with a fund’s performance, rate of return or yield. If distributions paid by the fund are greater than the performance of the fund, your original investment with shrink. Distributions paid as a result of capital gains realized by a fund, and income and dividends earned by a fund are taxable in your hands in the year they are paid. Your adjusted cost base will be reduced by the amount of any return of capital. If your adjusted cost base falls below zero, you will have to pay capital gains tax on the amount below zero.

NO WARRANTIES

All information provided on this Website is provided “as is” without any warranties of any kind and 3iQ Corp. makes no representations and disclaims all express and implied warranties of any kind, including, without limitation, representations, warranties or conditions regarding accuracy, timeliness, completeness, non-infringement, merchantability or fitness for any purpose. 3iQ Corp. assumes no responsibility to you or any third party for the consequences of any delays, failures, errors or omissions or loss of transmitted information, that no viruses or other contaminating or destructive properties will be transmitted or that no damage will occur to your computer system. We make no representation that the website will be uninterrupted or error free, that defects will be corrected, that the site or server that makes it available are free of viruses or other harmful components.

COPYRIGHT POLICY

The contents of the 3iQ Corp. website are protected by applicable copyright laws. No permission is granted to copy, distribute, modify, post, or frame any text, graphics, video audio, software code or user interface design or logos. Unauthorized use or exploitation of such marks and names is strictly prohibited.  Further, unauthorized downloading, re-transmission, storage in any medium, copying, redistribution, reproduction, or republication for any purpose is strictly prohibited.

THIRD PARTY LINKS

3iQ’s website provides links to other websites and resources. Such links are provided for your reference only. We do not control these sites and resources, and are not responsible for their availability, content or delivery of services. External sites are not bound by 3iQ’s online privacy policy. The inclusion of the links to other websites does not imply any approval or endorsement of the material on such websites.  References in this website to third parties’ products or service are not endorsements or approval of such goods or services, and are meant for convenience only. Links to other Websites are not endorsements or approvals of such sites, the third parties named therein, or their products and services, nor is any liability assumed for incompatibility, non-suitability, viral infection, worms, trojan horses or other destructive/disruptive components on or from such sites. Linking to another site is at your sole risk and 3iQ Corp. is not responsible or liable for any damages relating to linking.

DISCLAIMER OF LIABILITY

3iQ Corp. is not responsible in any way for any damages (direct, indirect, special, incidental, economic, or consequential, exemplary or punitive) in respect of or relating to the use or inability to use the website, the information, or any action or decision made by you or anyone else in reliance on the website or the information, or any unauthorized use or reproduction of the website or the information, even if 3iQ Corp. has been advised of the possibility of such damages.

Jean Desgagne

DIRECTOR

Jean Desgagne is a Director of 3iQ Digital Holdings Inc. Jean brings deep C-suite and Board experience within large multinational financial institutions, exchanges & market infrastructures, including TD, TMX and The Canadian Depository for Securities. He is a current and past Board Member for regulated financial companies, government agencies, industry associations, universities and not-for-profit organizations. He is an advisor to several startups and is CEO of Canada Stablecorp Inc. He is currently Chair of the Board for CPA Ontario, and a Director at CAA Club Group, CAA Insurance, Echelon Insurance and Orion Insurance. He Chairs the Internal Audit Committee for the Province of Ontario, I&IT Section and is an Executive in Residence at the Telfer School of Management.

Chris Jouppi

DIRECTOR

Chris Jouppi is a Director of 3iQ Digital Holdings Inc. Chris is a senior executive with over 40 years of progressive experience in risk management, electrical power, automation, medical device and professional services. Chris’ experience includes hands on involvement in technology, global marketing and sales, manufacturing operations, supply chain management, quality, finance, technology licensing, customer support, strategic planning and M&A.

Chris holds an MBA from Wilfred Laurier University and a BSc in Electrical Engineering at the University of Waterloo.

Pascal St-Jean

PRESIDENT

Pascal St-Jean is the President of 3iQ Corp.

Throughout his career, Pascal has focused on the transformation and disruption of industries via rapid scaling of businesses under his leadership. Having successfully created and grown multiple business ventures, Pascal was recognized as one of the youngest recipients of Ottawa’s Forty Under 40 award.

Pascal is the co-founder of STAND Advisors where he served as Strategic Advisor and Fractional Executive to over 5% of the Globe and Mail’s 500 fastest growing companies in Canada.  He is also a founding partner of Futuring– an executive coaching business, and the Chair of TEC Canada.

Pascal’s experience in open-source technologies and distributed systems led him to invest in cryptocurrency in 2016, and act as an educational resource on digital asset investments to several organizations. In addition, Pascal has served as a strategic consultant to bitcoin mining start-ups such as Hydra Mining and founded Quasar Strategy, a private multi-strategy Bitcoin fund.

John Loeprich

EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER & DIRECTOR

John Loeprich is the Executive Vice President, Chief Financial Officer, Chief Operating Officer and Director of 3iQ Corp. He is responsible for overseeing all aspects of operations, finance, and assisting with strategic planning.

John brings over 35 years of experience in the financial services industry, ranging from public accounting to finance and operations with multi-national corporations to finance and sales and marketing and strategic planning with a number of investment management firms.

John started his investment industry tenure at Fidelity Investments where he became Chief Financial Officer before starting his own business specializing in assisting companies launch themselves into the mutual fund market.

Prior to 3IQ, John was EVP & CFO at Qwest Investment Fund Management, helping grow the business into a profitable IFM/PM platform. Prior to Qwest, John was Senior Vice-President, Partner & head of the Private Client Division at Hillsdale Investment Management, responsible for Sale & Marketing to investment advisors and high net worth individuals. During his time at Hillsdale the firm’s assets grew from $12 million to over $500 million.

John is a Chartered Professional Accountant, Certified General Accountant and a graduate of the University of Waterloo (Bachelor of Mathematics).

Ashley Peters

Chief Compliance Officer

Ashley Peters is the Chief Compliance Officer at 3iQ Corp. Ms. Peters is an experienced Chief Compliance Officer and compliance consultant. Her experience in the Canadian investment industry has focused in compliance in IIROC, MFDA, exempt market dealer, investment fund manager and portfolio manager rules and regulations. Ms. Peters served as the Chief Compliance Officer for Solium Financial and Ross Smith Asset Management. As Chief Compliance Officer and Chief Anti-Money Laundering Officer, Ms. Peters oversaw the launch the Ross Smith Cryptocurrency Fund.

Ms. Peters is a past member of various IIAC and IIROC compliance committees and the IIROC Alberta District Council. Ashley has a background in finance and compliance.

Anthony Cox, CPA, ICD.D

EXECUTIVE VICE PRESIDENT & DIRECTOR

Tony Cox is the Executive Vice President and Director of 3iQ Corp. He is also a Director of 3iQ Digital Holdings Inc. Mr. Cox has more than 15 years of experience in Canada and the United Kingdom with major accounting firms and over 30 years of experience in the investment fund industry in Canada including eleven years as Chief Financial Officer of an investment fund manager subsidiary of Sun Life Assurance Company of Canada and eleven years with an investment fund manager subsidiary of National Bank Financial Inc.

Prior to joining 3iQ, Mr. Cox served as President of Canadian Fund Management Inc. and provided consulting and contract services to investment fund managers.

Mr. Cox has been very active in the investment fund industry, serving on many Investment Funds Institute of Canada committees and as a past director of Fundserv Inc.

Mr. Cox is currently a member of the Independent Review Committees of PIMCO Canada Funds, and Connor, Clark & Lunn Funds (chair). He is also a Board Member of The Duke of Edinburgh’s International Award – Ontario. He is a CPA, CA, and holds the ICD.D designation (ICD.D 2010).

Bruce Smith

DIRECTOR

Bruce Smith is a Director of 3iQ Digital Holdings Inc. Bruce is a Corporate Director and Senior Advisor for Strategic Initiatives at VanEck. Bruce joined VanEck back in 1983, and has been a director of various VanEck related entities such as the Van Eck Associates Corporation, Van Eck Securities Corporation, and the Van Eck Absolute Returns Advisers Corporation.

Prior to joining VanEck, Bruce served as a CPA at McGladrey & Pullen. He is a member of the American Institute of Certified Public Accountants (AICPA) and the New State Society of Certified Public Accountants (NYSSCPA). He holds FINRA Series 7, 27 and 63 Licenses, and has received a Bachelor of Science in Accounting from Fordham University in 1977 and a CPA designation in 1980.

Thomas G. Staudt

Director

Tom Staudt is a Director of 3iQ Digital Holdings Inc. Tom has been with ARK Investment Management (New York) for almost 7 years, and currently serves as ARK’s Chief Operating Officer, managing and overseeing the strategic operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Tom earned the asset management industry’s 2020 Rising Star Award recognition from Fund Intelligence.

Prior to joining ARK, Tom worked in a media sales and consulting role for WILX. Before WILX, Tom spent time with Fidelity Investments in their mutual fund department, and he has also consulted on Millennial investing behavior to TIAA-CREF.

Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame, a Master of Arts in Telecommunications Policy from Michigan State University, a Master of Science in New Media Management from the Newhouse School at Syracuse University, and his Master of Business Administration from Cornell University.

Tom is also currently the President of the ARK ETF Trust.

Valerie Hull

VP, Finance

Valerie Hull is the VP, Finance at 3iQ Corp. Valerie brings over 20 years of experience in the financial services and investment industry, with roles ranging from public accounting, internal audit, fund administration and finance with a number of investment management and investment firms.

Valerie is a Chartered Professional Accountant, Chartered Accountant, and Certified Management Accountant and is a graduate of the University of Waterloo (Masters of Accounting).

Richard Strauss

Director

Richard Strauss is a Director of 3iQ Digital Holdings Inc. Richard has over 25 years of experience in the U.S. securities industry.  Most of his career was spent at Goldman Sachs where he was a Senior Financial Services Analyst in charge of Investment Management, Brokerage, Investment Banking and Money Center Bank research coverage.

While at Goldman, he also played an important role in marketing the Firm’s 1999 IPO to institutional investors worldwide.  After leaving Goldman, Richard was a Director at Deutsche Bank covering Financial Services.  Earlier, he had been at Salomon Brothers, covering superregional and regional banks.

Currently, he is President and managing member of Kensington Partners, a trading operation. Richard holds both an MBA and BA from Cornell University.

Alex McDougall

Managing Director

Alex McDougall is a Managing Director at 3iQ. Alex analyzes companies throughout the full lifecycle from early-stage to multi-national institutions. Starting his career as an investment banker at the Bank of Montreal, Alex led multiple projects and teams across BMO Capital Markets, including in Fintech, M&A, and Financial Institutions. Alex helped lead the charge on several of Capital Market’s early blockchain and fintech initiatives and was recognized as a leader within the Investment Bank.

Alex left BMO in early 2018 to co-found Bicameral Ventures, a platform focused on “Interconnected Investing” and building a portfolio of highly complementary projects working towards bringing new technology paradigms into reality. Bicameral’s themes generally include blockchain, interoperability, data and identity self-sovereignty, personalized AI, and Web 3.0. Alex joined the 3iQ team in Q1 2021 as Managing Director – Product Development.

Ross McKee

DIRECTOR

Ross McKee is a Director of 3iQ Digital Holdings Inc. Ross has more than 35 years of experience as a Canadian capital markets and securities regulatory lawyer, recently retired from Blake, Cassels & Graydon LLP. During his legal practice at Blakes, Mr. McKee advised Canadian and foreign issuers, dealers, advisers, custodians, depositaries, and marketplaces on capital markets regulation and compliance issues, for traditional and new securities. His securities law experience also includes advising special committees of independent directors, mergers and acquisitions, and project finance. Since 2013, he has advised developers, issuers, and brokers on cryptocurrencies and digital asset funds, token foundations and blockchain protocols. Since his retirement from Blakes in 2019, Mr. McKee has acted as a legal consultant on securities law compliance, venture capital and blockchain-related matters. Mr. McKee is a graduate of Trinity College, University of Toronto (BA) and Queen’s University (LLB), where he taught securities regulation for five years.

Meltem Demirors

DIRECTOR

Meltem Demirors is a Director of 3iQ Digital Holdings Inc. Meltem is the Chief Strategy Officer of CoinShares, a publicly listed ($CS.ST) digital asset investment firm that manages $5B in assets, and is a trusted partner to investors and entrepreneurs navigating the digital asset ecosystem. Meltem oversees the firm’s corporate strategy, investments, and growth efforts. An established veteran of digital asset investing, Meltem draws on her substantial experience and widespread influence to accelerate growth and acceptance of the asset class. Prior to joining CoinShares, Meltem helped build and grow Digital Currency Group, raising capital from the world’s largest corporations and managing a portfolio of 120 companies and 4 subsidiaries. Before she was bitten with the bitcoin bug, Meltem worked in the Oil & Gas industry in trading, corporate treasury, and M&A roles. Meltem has been recognized for her personal contributions to the industry and serves as an outspoken advocate. She is a founding member of the World Economic Forum Blockchain Council and testified before the House Financial Services Committee. Meltem teaches at MIT and Oxford, and is cochair of the WEF Cryptocurrency Council and actively involved in and passionate about bitcoin education and advocacy efforts as well as causes related to civil rights and freedom of speech.

Anoop Dogra

Managing Director

Anoop Dogra is a Managing Director at 3iQ, responsible for product development, syndication and legal matters.

Prior to 3iQ, Anoop was a Director at BMO Capital Markets where he was responsible for originating, structuring and distributing innovative financial products, including mutual funds, alternative funds and closed-end funds, and prior to that, Anoop was a Partner at Blake, Cassels & Graydon LLP, where he practiced securities and corporate law.

Anoop holds a Bachelor of Laws from Western University, a Master of Business Administration from Saint Mary’s University, and a Bachelor of Commerce from Guru Nanak Dev University (India), and is a member of the Law Society of Ontario.

Christopher Matta

PRESIDENT OF 3iQ DIGITAL ASSETS (US)

Chris is the President of 3iQ Digital Assets (US).

Chris also serves as the President and Founder of the Blockchain Association of New Jersey, which advocates for innovative regulatory leadership and enterprise collaboration for the cryptocurrency space.

Prior to joining 3iQ, Chris was the Co-Founder of Crescent Crypto, an asset management firm focused on creating innovative investment solutions to bring the cryptocurrency asset class to institutional and mainstream investors. Previously, Chris was a Vice President at Goldman Sachs where he managed assets for the Goldman Sachs Philanthropy Fund and Trust Company.

Kevin Jiang

Portfolio Manager and Head of Trading

Kevin Jiang is the Head of Trading and Operations at 3iQ Corp.

Kevin brings 10 years of experience in securities trading, investment, and asset management. Prior to joining 3iQ, Kevin was the Head of Fixed Income Department at Guosheng Securities Asset Management where he oversaw asset under management growth of over $1 billion. Previously Kevin was Head of Trading of Fixed Income Department at CITIC Securities.

Francois Dionne St-Arneault

Director of Product and Sales

François is the Director of Products and Sales for Canada at 3iQ Corp. Prior to joining 3iQ, François was the Co-Founder of sept24, a full-service communications & marketing agency based in Quebec. François has worked with innovative and forward-thinking companies in assisting to bring their products and services to market. François brings more than 15 years of experience in marketing and sales to 3iQ. François holds a Bachelor of Business Administration from the Université de Sherbrooke.

Connor Loewen

Cryptocurrency Analyst

Connor Loewen is 3iQ’s cryptocurrency analyst. Connor has been involved with bitcoin and other digital assets for over 5 years. Connor holds a Bachelor of Business Administration from Capilano University and has completed the Canadian Securities Course. During university, Connor served as the Director of Finance for the Capilano Finance Association for three years, where he led student investment workshops and lectured full-sized classes on managing equities, derivatives, and digital assets. Connor had previously worked in the TSX Venture industry, and at Toronto-Dominion Bank.

Louis LaValle

Managing Director, 3iQ Digital Assets (US)

Louis LaValle is Managing Director and co-head of Distribution for 3iQ Digital Assets (US) with over 17 years of financial industry experience. Prior to joining 3iQ, Louis held senior roles across the alternative investment industry at Neuberger Berman, BNY Mellon (EACM Advisors), Legg Mason (Permal Group) and SkyBridge Capital. Prior to this, he was an investment analyst at Morgan Stanley and Credit Suisse First Boston. He received a BA, cum laude, from New York University.

Kevin Aikman-Carter

MARKETING COORDINATOR

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Thomas Rose

Managing Director, 3iQ Digital Assets (US)

​Tom Rose is Managing Director and co-head of Distribution at 3iQ Digital Assets (US) with 25 years of business development and relationship manager experience including 18 years in the investment management industry. Prior to joining 3iQ, he was with Neuberger Berman responsible for building the intermediary business on the West Coast, engaging with RIAs and multi-family offices. Previously, he was with BlackRock and managed the institutional Core-West team covering foundations, endowments, and pension plans (both corporate and public) and was responsible for growing the institutional business across the BlackRock platform and developing talent. Before the acquisition of Barclays Global Investors (BGI) Tom was a senior member of the Client Connect team. Tom received a BA, from TCU and MBA from the University of San Francisco. Tom holds the CFA designation and sits on the Board for the Peter Pan Foundation.

Thomas G. Staudt

DIRECTOR

Tom Staudt is a Director of 3iQ Digital Holdings Inc. Tom has been with ARK Investment Management (New York) for almost 7 years, and currently serves as ARK’s Chief Operating Officer, managing and overseeing the strategic operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Tom earned the asset management industry’s 2020 Rising Star Award recognition from Fund Intelligence.

Prior to joining ARK, Tom worked in a media sales and consulting role for WILX. Before WILX, Tom spent time with Fidelity Investments in their mutual fund department, and he has also consulted on Millennial investing behavior to TIAA-CREF.

Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame, a Master of Arts in Telecommunications Policy from Michigan State University, a Master of Science in New Media Management from the Newhouse School at Syracuse University, and his Master of Business Administration from Cornell University.

Tom is also currently the President of the ARK ETF Trust.

Richard Strauss

DIRECTOR

Richard Strauss is a Director of 3iQ Digital Holdings Inc. Richard has over 25 years of experience in the U.S. securities industry.  Most of his career was spent at Goldman Sachs where he was a Senior Financial Services Analyst in charge of Investment Management, Brokerage, Investment Banking and Money Center Bank research coverage.

While at Goldman, he also played an important role in marketing the Firm’s 1999 IPO to institutional investors worldwide.  After leaving Goldman, Richard was a Director at Deutsche Bank covering Financial Services.  Earlier, he had been at Salomon Brothers, covering superregional and regional banks.

Currently, he is President and managing member of Kensington Partners, a trading operation. Richard holds both an MBA and BA from Cornell University.

Frederick T. Pye

CHAIRMAN, CHIEF EXECUTIVE OFFICER & DIRECTOR

Frederick T. Pye is the Chairman, Chief Executive Officer and Director of 3iQ Corp. He is also the Chairman and Director of 3iQ Digital Holdings Inc. Mr. Pye is recognized for creating and promoting creative and unique investment products for the investment industry.

Mr. Pye has managed private client portfolios with Landry Investment Management and various other investment dealers. Prior to this Mr. Pye was Founder, President & Chief Executive Officer of Argentum Management and Research Corporation, a company dedicated to managing and distributing quantitative investment portfolios including the first long-short mutual fund in Canada.

He was also Senior Vice-President and National Sales Manager of Fidelity Investments Canada and an integral part of the team that saw assets rise from $80 million to over $7.5 billion in assets under management during his tenure. He also held various positions with Guardian Trust Company, which listed the first Gold, Silver and Platinum Certificates on the Montreal Exchange.

Mr. Pye obtained a Masters in Business Administration from Concordia University.