With entry in the commercial registry / physical presence in Switzerland:
» ATLANTIS EXPLORATION AG (10.06.2009)
» Biotech Development (Schweiz) AG (18.09.2009)
» Capital Innovation AG (24.02.2011)
» Cash Group AG (21.12.2009)
» contegiovanni und partner ag, finanz- und versicherungsmakler in Liquidation (28.10.2010)
» Dividium Capital Ltd, Isle of Man (30.04.2009)
» Empresa Minera (Bergbau) AG (04.11.2009)
» FORINVEST (Switzerland) SA in Liquidation (30.03.2010)
» Helvetia Treuhand GmbH (17.02.2009)
» Helvetia Treuhand-Union GmbH (17.02.2009)
» HouseFX AG (12.05.2010)
» Investment24 AG (24.02.2011)
» S.B.E. Financial SA (12.04.2010)
» SBAG – Schweizerische Börsenabwicklungsgesellschaft mbH (17.02.2009)
» Seabed Invest AG (10.06.2009)
» Sokinvest Sàrl (26.01.2011)
» Steinberg Investment Research AG (17.02.2009)
» SWAG – Schweizerische Wertpapierabrechnungsgesellschaft AG (17.02.2009)
» Swiss Credit Trust AG (21.04.2010)
» Traditionshaus AG (23.09.2010)
» United Trust of Switzerland S.A. (14.04.2009)
» WESTGATE Financial AG (31.03.2009)
No entry in the commercial registry / physical presence in Switzerland:
» AA Capital (23.09.2009)
» AJPA Broker SA (05.05.2010)
» Armstrong & Knight (04.10.2010)
» Associated Management Group (AMG Zurich) (16.02.2010)
» AVM AG (15.12.2009)
» Barringer and Co. (30.06.2009)
» Basel Institutional (16.07.2009)
» BelSwissBank (03.11.2009)
» Bergues Invest SA (20.10.2009)
» Blanc & Baumar (18.09.2009)
» Brett Commodities GmbH (12.02.2010)
» Bright Capital Banker Ltd (22.12.2009)
» Britannia Swiss Equities, BSE AG (07.09.2009)
» Bullion Trading Group (04.11.2009)
» Calvin & Sanderson Associates (25.11.2009)
» CFD-Market Ltd. (02.12.2010)
» CH Devisen Macht SA (06.01.2010)
» Colebrooke Management Holdings (26.04.2010)
» Commercial Development Bank (21.01.2010)
» Coninvest Finanz AG (17.04.2009)
» Cooper & Finley Group (24.01.2011)
» Crédit Mirabaud (03.09.2009)
» Creditnet Bank Internationale (19.02.2009)
» Darier Asset Management (06.04.2009)
» Delmont Wealth Management (07.05.2009)
» Diba Assets Ltd., Belize (01.02.2011)
» Dow Win Financial Group Corporation (24.03.2010)
» Dupont Conseille AG (03.02.2010)
» eBank24 Corporation (21.12.2009)
» Ecumoney Limited (04.11.2009)
» EFD Financial Group (12.05.2010)
» E-Money Power (EMPFX) (11.06.2009)
» Equinox Private Consultants Ltd. (05.02.2010)
» Erste Helvetische Bank bzw. Freie Helvetische Bank (14.02.2011)
» Ethos World Bank (24.03.2009)
» Eurogoldtrader (03.09.2009)
» European Money Management (07.09.2009)
» Fine Trading Group (19.08.2009)
» Finvest Asset Management (31.03.2009)
» First Geneva Wealth Management (13.12.2010)
» First Invest Swiss Trade (05.08.2009)
» FlamelTrade (21.12.2010)
» Floris Bank (02.06.2009)
» Foreign Exchange Clearing House Ltd. (19.02.2009)
» Forextradingservice AG (23.12.2010)
» Forexyard (23.09.2009)
» Forst Finance AG (04.05.2009)
» Freeman International (07.06.2010)
» FXTSwiss (21.09.2009)
» Gemeinnützige Baugenossenschaft Helvetica e.G. (28.06.2010)
» Geneva Financial Commission GeFin (20.09.2010)
» Geneva Mercantile Exchange (GMEX) (10.11.2010)
» Genfer Kreditanstalt (05.11.2010)
» Genfer Kreditanstalt Maximilian Graf Inc. (13.09.2010)
» Global Foreign Exchange (Switzerland) AG (17.02.2009)
» Global Pension Plan (03.09.2009)
» Gordon Marks Capital (21.07.2010)
» GrandSlam AM Services AG (14.06.2010)
» GRP Finance Holding Group Limited (16.08.2010)
» GTO Gap Trading Online (29.07.2009)
» Gulf Oil Exploration Inc. (Gulf Oil Exploration (Anguilla) Ltd.) (03.02.2010)
» Hamilton Associates A.G. (12.05.2009)
» HBW-Finanz AG (04.06.2009)
» Hentsch & Müller S.A. (05.11.2009)
» IAZ & Partners (22.12.2009)
» IFS International Financial Services Inc., Las Vegas (25.03.2009)
» Imperia Invest IBC (14.04.2010)
» Inter Credit Group, Kiev (24.02.2009)
» Interbank Asset Management Group AG / InterBank AG (30.04.2009)
» Interbank Investment Funds Corp (22.06.2010)
» Intercontinental Financial Developments Plc. (24.08.2009)
» Intertrade Investment (14.02.2011)
» Investment Suisse / Investment Suisse S.A. (03.03.2010)
» Investor Relations Corp. ('IRC') (15.05.2009)
» ISR Management & Consulting Ltd (19.11.2009)
» Jefferies Associates Group (15.01.2010)
» Kadumah AG (23.11.2010)
» Kanat finance (22.06.2010)
» KCP Bank (14.10.2009)
» Kirkland Lee (24.03.2009)
» Kutag Capital Partners AG (15.12.2009)
» Kutag Group (02.07.2009)
» Lange Vermögensberatung GmbH (18.03.2010)
» Locstein Asset Management AG (19.04.2010)
» Malmsbury, Harrington and Seaford (04.03.2010)
» Matterhorn International (17.02.2009)
» MCC Mariaux Chèvre & Cie (17.08.2009)
» MCC Swiss Bank SA (18.10.2010)
» Mercaforex, Silver Holdings International Ltd. (13.01.2010)
» Mercury Forex Investments Assets Ltd. (03.12.2009)
» MonMach Marine Insurance Company Ltd. (06.04.2009)
» Montague Private Equity Partners Ltd (23.11.2010)
» Neuburg Financial AG (19.05.2009)
» Noble Advisory Group (06.07.2009)
» Pacon Capital S.A. (24.08.2009)
» Polaris Trading Partners (18.11.2010)
» Private Equity Capital Group (06.11.2009)
» Progress Mining Corp. LTD (18.10.2010)
» Protected International Inc. (14.01.2010)
» Purely Penny Stocks (18.01.2011)
» Quantum Asset Management (21.01.2010)
» Ranston Ltd. (14.10.2009)
» Ruluso Holding Ltd. (23.07.2009)
» S.B.E. Bank (12.04.2010)
» Saxonia Sparkasse Inc. (06.04.2009)
» SBC Swiss Bank Control (21.07.2010)
» SCT Bank, Ltd. (21.04.2010)
» Secure Trust Companies (05.11.2010)
» SFP Private Banking (25.02.2009)
» SFR AG (Swiss Finance Research AG) (26.11.2009)
» Sigma Trading Limited (15.04.2009)
» Skyline Advisory Group (17.02.2009)
» Sophisticated Investor, Inc. (18.09.2009)
» SP Trade Investment Capital Ltd. / SP Trader Fund (10.07.2009)
» Sterling Asset Management AG (04.05.2010)
» Stonehard Consulting d.o.o. (09.11.2009)
» Suisse Life Securities (Suisse) (04.05.2009)
» Summit Holdings (24.01.2011)
» Swiss Agricole Asset Management (23.12.2009)
» Swiss Bellair Bank (08.04.2010)
» swiss capital assets (16.07.2009)
» Swiss Finance Research AG (18.09.2009)
» Swiss Futures Trading Commission (26.07.2010)
» Swiss Group & Partner (05.10.2010)
» Swiss Key Equity Consult AG (24.06.2009)
» Swiss Siam Investment Club (12.04.2010)
» Swissridge International Corp. (16.02.2010)
» Switzerland Investment Group (26.11.2009)
» The Crown Group CH (21.04.2010)
» Thomas Moore (21.09.2009)
» Tradewaves Asset Management S.A. (07.06.2010)
» Turner Mayfield Advisory A.G. (31.03.2009)
» Unispar Banque PLC (01.02.2010)
» UVB Banco ZRT (01.02.2011)
» VanFunds / Vandior Inc. (23.09.2009)
» Ventana Biotech Inc. (18.09.2009)
» Vincy Options S.A. (10.11.2010)
» Wal Capital S.A. (09.12.2010)
» Weissman Commodities (06.09.2010)
» Weyhill Establishments (04.01.2010)
» William Smith Partners (10.03.2010)
» Woodbridge Business Corp. (19.05.2009)
» Zinnwald Financiers (23.06.2009)
» Zucomex The Zurich Commodities Exchange (05.11.2009)
» Zurich Capital Gruppe (25.01.2010)
» Zurich Direct (12.05.2010)
04 March 2011
Warning against Everest Asset Management
Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Everest Asset Management is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.
Everest Asset Management has a website (www.everestam.com) using the following address: Rämistrasse 8, P.O. Box 659, CH-8024 Zürich.
Everest Asset Management’s representatives contact investors in Sweden through unsolicited telephone calls.
To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".
21 December 2010
Everest Asset Management has a website (www.everestam.com) using the following address: Rämistrasse 8, P.O. Box 659, CH-8024 Zürich.
Everest Asset Management’s representatives contact investors in Sweden through unsolicited telephone calls.
To find out whether a company or individual is authorised, check Finansinspektionen's website at: www.fi.se under "Authorisation".
21 December 2010
The Commission de Surveillance du Secteur Financier (CSSF) warns against Vivant Financial S.A.
The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of an entity named Vivant Financial S.A., which claims to be established in Luxembourg.
According to the information available to the CSSF, this entity attempts to collect funds from investors for so-called "life-settlement" transactions.
The CSSF informs the public that Vivant Financial S.A. is not under the prudential supervision of the CSSF and has not been granted the required authorisation to offer such services in or from Luxembourg.
Luxembourg, 21 January 2011
According to the information available to the CSSF, this entity attempts to collect funds from investors for so-called "life-settlement" transactions.
The CSSF informs the public that Vivant Financial S.A. is not under the prudential supervision of the CSSF and has not been granted the required authorisation to offer such services in or from Luxembourg.
Luxembourg, 21 January 2011
Finanstilsynet (The Financial Supervisory Authority of Norway) warns against Bellview Financial
Finanstilsynet has been informed that Bellview Financial (address: Riviera Minami Aoyama Building, 4F, Tokyo 107-0062) has approached Norwegian investors offering investment services. The company also offers services from a website bellviewfinancial.com.
Finanstilsynet wishes to make it clear that Bellview Financial is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Bellview Financial.
Finanstilsynet's registry (www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (www.finanstilsynet.no/markedsadvarsler/).
Finanstilsynet wishes to make it clear that Bellview Financial is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Bellview Financial.
Finanstilsynet's registry (www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (www.finanstilsynet.no/markedsadvarsler/).
Finansinspektionen (the Swedish Financial Supervisory Authority) warns against Black Rose Financial
Finansinspektionen (the Swedish Financial Supervisory Authority) has today published this statement in order to warn investors against dealing with unauthorised firms. Black Rose Financial is not authorised by Finansinspektionen and is therefore not entitled to provide financial services. Finansinspektionen has not received any notification of cross-border activities from other EES countries.
Black Rose Financial has a website (www.blackrosefinancial.com) using the following address: Badenerstrasse 176, P.O. Box, 8026 Zurich 4.
Black Rose Financial's representatives contact investors in Sweden through unsolicited telephone calls.
To find out whether a company or individual is authorised, check Finans-inspektionen's website at: www.fi.se under "Authorisation".
Black Rose Financial has a website (www.blackrosefinancial.com) using the following address: Badenerstrasse 176, P.O. Box, 8026 Zurich 4.
Black Rose Financial's representatives contact investors in Sweden through unsolicited telephone calls.
To find out whether a company or individual is authorised, check Finans-inspektionen's website at: www.fi.se under "Authorisation".
28 August 2010
Finanstilsynet (The Financial Supervisory Authority of Norway) warns against investment offers promoted by Prentice Management Corp.
Norway, 25/08/2010
Finanstilsynet has been informed that
Prentice Management Corp.
(address: 18th Floor Ark Mori Building,
1-12-32 Akasaka, Minato-ku, Tokyo 107-6011)
has approached Norwegian investors offering investment services.
The company also offers services from a website www.prenticecorp.com.
Finanstilsynet wishes to make it clear that Prentice Management Corp. is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Prentice Management Corp.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet has been informed that
Prentice Management Corp.
(address: 18th Floor Ark Mori Building,
1-12-32 Akasaka, Minato-ku, Tokyo 107-6011)
has approached Norwegian investors offering investment services.
The company also offers services from a website www.prenticecorp.com.
Finanstilsynet wishes to make it clear that Prentice Management Corp. is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Prentice Management Corp.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
18 August 2010
Danish Financial Supervisory Authority warns against Smith and Dalton M&A
The Danish Financial Supervisory Authority has been informed that a company named Smith and Dalton M&A unsolicited has contacted Danish citizens. At the company's homepage (http://smithdalton.com/) it is stated that the company has the address: Henan Building, 19 Luard Road, Wanchai, Hong Kong.
According to information given to The Danish Financial Supervisory Authority, the company has offered to carry out financial services.
Smith and Dalton M&A does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.
The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/sw1296.asp).
Contact person: Natascha Ottsen
Direct phone no.: +45 33 55 83 79
According to information given to The Danish Financial Supervisory Authority, the company has offered to carry out financial services.
Smith and Dalton M&A does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.
The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/sw1296.asp).
Contact person: Natascha Ottsen
Direct phone no.: +45 33 55 83 79
Swiss Financial Market Supervisory Authority FINMA: Rulings under Article 34 FINMASA
Under Article 34 of the Swiss Financial Market Supervision Act (Art. 34 FINMAG, SR 956.1), FINMA is permitted to publish its final decrees in electronic and paper form once they have taken legal effect and provide details of individuals in cases of a serious breach of supervisory regulations.
FINMA publishes below excerpts from such legally valid final decrees.
» Aabbadi Abdelmajid
» Bank Leumi (Schweiz) AG
» Basic Trading Solution Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Bintz Dietmar
» Blashchak Josef, geb. Hader
» Cruciger Andreas
» Datta Birgit
» Four Stars AG, Marshall Islands, Zweigniederlassung Rickenbach
» Gerull Rudolf
» Gut Jakob
» Gut Sven
» Immik Thomas
» Julius Brown AG, Marshall Islands, Zweigniederlassung Rickenbach
» Littig Andreas
» MFIVE Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Organi Juris GmbH
» ORGANIJURIS HOLDING AG
» ORGANIJURIS HOLDING AG, Marshall Islands, Zweigniederlassung Rickenbach
» Ott Albert
» Petersen Stephan
» Rainbow Real Estate Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Savic Milan
» Savic Milos
» Schaumberger André Wolfgang
» Schaumberger Michael
» Schaumberger Roland
» Stevens Helion
» Verum Placement Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Volk Achim
» von Blon Reimund
» Williams Rendal
FINMA publishes below excerpts from such legally valid final decrees.
» Aabbadi Abdelmajid
» Bank Leumi (Schweiz) AG
» Basic Trading Solution Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Bintz Dietmar
» Blashchak Josef, geb. Hader
» Cruciger Andreas
» Datta Birgit
» Four Stars AG, Marshall Islands, Zweigniederlassung Rickenbach
» Gerull Rudolf
» Gut Jakob
» Gut Sven
» Immik Thomas
» Julius Brown AG, Marshall Islands, Zweigniederlassung Rickenbach
» Littig Andreas
» MFIVE Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Organi Juris GmbH
» ORGANIJURIS HOLDING AG
» ORGANIJURIS HOLDING AG, Marshall Islands, Zweigniederlassung Rickenbach
» Ott Albert
» Petersen Stephan
» Rainbow Real Estate Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Savic Milan
» Savic Milos
» Schaumberger André Wolfgang
» Schaumberger Michael
» Schaumberger Roland
» Stevens Helion
» Verum Placement Ltd., Marshall Islands, Zweigniederlassung Rickenbach
» Volk Achim
» von Blon Reimund
» Williams Rendal
Finanstilsynet warns against Mitsubishi Group
Norway, 13/08/2010
Finanstilsynet has been informed that Mitsubishi Group (address: Tennozu Central Tower 22F, 2-24, Higashi Shinagawa, 2-chome, Shinagawa-ku, Tokyo 140-0002) has approached Norwegian investors offering investment services. The company also offers services from a website www.mitsubishigroup.com.
Please be advised that this organization is in no way associated with any of the Mitsubishi companies referred in the website www.mitsubishi.com, and has been acting without the knowledge or consent of the Mitsubishi companies.
Finanstilsynet wishes to make it clear that Mitsubishi Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Mitsubishi Group.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet has been informed that Mitsubishi Group (address: Tennozu Central Tower 22F, 2-24, Higashi Shinagawa, 2-chome, Shinagawa-ku, Tokyo 140-0002) has approached Norwegian investors offering investment services. The company also offers services from a website www.mitsubishigroup.com.
Please be advised that this organization is in no way associated with any of the Mitsubishi companies referred in the website www.mitsubishi.com, and has been acting without the knowledge or consent of the Mitsubishi companies.
Finanstilsynet wishes to make it clear that Mitsubishi Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Mitsubishi Group.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet warns against Commodore Asset
Norway, 12/08/2010
Finanstilsynet has been informed that Commodore Asset (allegedly domiciled in Ohio, USA) has approached Norwegian investors offering investment services. The company also offers services from a website www.commodoreasset.com.
Finanstilsynet wishes to make it clear that Commodore Asset is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Commodore Asset.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet has been informed that Commodore Asset (allegedly domiciled in Ohio, USA) has approached Norwegian investors offering investment services. The company also offers services from a website www.commodoreasset.com.
Finanstilsynet wishes to make it clear that Commodore Asset is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Commodore Asset.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet warns against First Financial Management
Norway, 12/08/2010
Finanstilsynet has been informed that First Financial Management (address: unknown) has approached Norwegian investors offering investment services. The company also offers services from a website www.firstfinancialmgmt.com.
The firm must not be confused with First Financial Management (N.I) Ltd, which is authorised and regulated by the Financial Services Authority (FSA) in the UK.
Finanstilsynet wishes to make it clear that First Financial Management is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to First Financial Management.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet has been informed that First Financial Management (address: unknown) has approached Norwegian investors offering investment services. The company also offers services from a website www.firstfinancialmgmt.com.
The firm must not be confused with First Financial Management (N.I) Ltd, which is authorised and regulated by the Financial Services Authority (FSA) in the UK.
Finanstilsynet wishes to make it clear that First Financial Management is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to First Financial Management.
Finanstilsynet's registry gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website.
Finanstilsynet warns against Okuma Group
Norway, 09/08/2010
Finanstilsynet has been informed that Okuma Group (address: Marunouchi Trust Tower Main, 16th Floor 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045, Japan) has approached Norwegian investors offering investment services. The company also offers services from a website www.okumagroup.com.
Finanstilsynet wishes to make it clear that Okuma Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Okuma Group.
Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).
Finanstilsynet has been informed that Okuma Group (address: Marunouchi Trust Tower Main, 16th Floor 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045, Japan) has approached Norwegian investors offering investment services. The company also offers services from a website www.okumagroup.com.
Finanstilsynet wishes to make it clear that Okuma Group is not authorised to provide investment services in Norway, and therefore lacks the licence required under Norwegian law. The company is consequently not subject to Finanstilsynet’s supervisory oversight, nor has Finanstilsynet approved the services offered by the company. Finanstilsynet therefore recommends investors not to enter into agreements with or transfer assets to Okuma Group.
Finanstilsynet's registry (http://www.finanstilsynet.no/registry) gives details of all companies authorised to offer investment services in Norway. A list (not complete) of companies operating in the market without a licence can be found on Finanstilsynet's website (http://www.finanstilsynet.no/markedsadvarsler/).
Swiss Financial Market Supervisory Authority (FINMA): Unauthorised institutions (black list)
FINMA instructs appropriate measures against companies or persons who, without having a corresponding authorisation, engage in activities that supervisory legislation describes as requiring authorisation. Potential measures to be taken can range all the way up to the liquidation of the company in question. However, it is possible that FINMA may be unable to carry out its investigations, to issue instructions for the necessary measures or to enforce these measures because, for instance, a company conducts its businesses from abroad or the persons concerned have disappeared.
The list below, published by FINMA, shows companies and persons who seem – due to their activities in or from Switzerland, or based on the description of their purpose according to the entry in the commercial register – to perform activities that fall under FINMA's supervision without possessing the necessary authorisation to do so. Inclusion on the list does not necessary mean that the company is performing an illegal activity; however, investors should be made aware that the companies listed here do not have authorisation from FINMA. The list contains the names of the companies and persons in question, their date of inclusion and any other information that may help to protect investors. Companies and persons will be removed from the list as soon as the necessary investigations have been completed and any changes that may be required have been made.
With entry in the commercial registry / physical presence in Switzerland
» ATLANTIS EXPLORATION AG (10.06.2009)
» Biotech Development (Schweiz) AG (18.09.2009)
» Cash Group AG (21.12.2009)
» Dividium Capital Ltd, Isle of Man (30.04.2009)
» Empresa Minera (Bergbau) AG (04.11.2009)
» FORINVEST (Switzerland) SA in Liquidation (30.03.2010)
» Helvetia Treuhand GmbH (17.02.2009)
» Helvetia Treuhand-Union GmbH (17.02.2009)
» HouseFX AG (12.05.2010) » S.B.E. Financial SA (12.04.2010)
» SBAG – Schweizerische Börsenabwicklungsgesellschaft mbH (17.02.2009)
» Seabed Invest AG (10.06.2009)
» Steinberg Investment Research AG (17.02.2009)
» SWAG – Schweizerische Wertpapierabrechnungsgesellschaft AG (17.02.2009)
» Swiss Credit Trust AG (21.04.2010)
» SwissAudit Aktiengesellschaft (08.02.2010)
» United Trust of Switzerland S.A. (14.04.2009)
» WESTGATE Financial AG (31.03.2009)
No entry in the commercial registry / physical presence in Switzerland
» AA Capital (23.09.2009)
» AJPA Broker SA (05.05.2010)
» Associated Management Group (AMG Zurich) (16.02.2010)
» AVM AG (15.12.2009)
» Barringer and Co. (30.06.2009)
» Basel Institutional (16.07.2009)
» BelSwissBank (03.11.2009)
» Bergues Invest SA (20.10.2009)
» Blanc & Baumar (18.09.2009)
» Brett Commodities GmbH (12.02.2010)
» Bright Capital Banker Ltd (22.12.2009)
» Britannia Swiss Equities, BSE AG (07.09.2009)
» Bullion Trading Group (04.11.2009)
» Calvin & Sanderson Associates (25.11.2009)
» CH Devisen Macht SA (06.01.2010)
» Colebrooke Management Holdings (26.04.2010)
» Commercial Development Bank (21.01.2010)
» Condor Gold and Minerals Inc. (07.12.2009)
» Coninvest Finanz AG (17.04.2009)
» Crédit Mirabaud (03.09.2009)
» Creditnet Bank Internationale (19.02.2009)
» Darier Asset Management (06.04.2009)
» Delmont Wealth Management (07.05.2009)
» Dow Win Financial Group Corporation (24.03.2010)
» Dupont Conseille AG (03.02.2010)
» eBank24 Corporation (21.12.2009)
» Ecumoney Limited (04.11.2009)
» EFD Financial Group (12.05.2010)
» E-Money Power (EMPFX) (11.06.2009)
» Equinox Private Consultants Ltd. (05.02.2010)
» Ethos World Bank (24.03.2009)
» Eurogoldtrader (03.09.2009)
» European Money Management (07.09.2009)
» Fine Trading Group (19.08.2009)
» Finvest Asset Management (31.03.2009)
» First Invest Swiss Trade (05.08.2009)
» Floris Bank (02.06.2009)
» Foreign Exchange Clearing House Ltd. (19.02.2009)
» Forexyard (23.09.2009)
» Forst Finance AG (04.05.2009)
» Freeman International (07.06.2010)
» FXTSwiss (21.09.2009)
» Gemeinnützige Baugenossenschaft Helvetica e.G. (28.06.2010)
» Global Foreign Exchange (Switzerland) AG (17.02.2009)
» Global Pension Plan (03.09.2009)
» Gordon Marks Capital (21.07.2010)
» GrandSlam AM Services AG (14.06.2010)
» GRP Finance Holding Group Limited (16.08.2010)
» GTO Gap Trading Online (29.07.2009)
» Gulf Oil Exploration Inc. (Gulf Oil Exploration (Anguilla) Ltd.) (03.02.2010)
» Hamilton Associates A.G. (12.05.2009)
» HBW-Finanz AG (04.06.2009)
» Hentsch & Müller S.A. (05.11.2009)
» IAZ & Partners (22.12.2009)
» IFS International Financial Services Inc., Las Vegas (25.03.2009)
» Imperia Invest IBC (14.04.2010)
» Inter Credit Group, Kiev (24.02.2009)
» Interbank Asset Management Group AG / InterBank AG (30.04.2009)
» Interbank Investment Funds Corp (22.06.2010)
» Intercontinental Financial Developments Plc. (24.08.2009)
» Investment Suisse / Investment Suisse S.A. (03.03.2010)
» Investor Relations Corp. ('IRC') (15.05.2009)
» ISR Management & Consulting Ltd (19.11.2009)
» Jefferies Associates Group (15.01.2010)
» Kanat finance (22.06.2010)
» KCP Bank (14.10.2009)
» Kirkland Lee (24.03.2009)
» Kutag Capital Partners AG (15.12.2009)
» Kutag Group (02.07.2009)
» Lange Vermögensberatung GmbH (18.03.2010)
» Locstein Asset Management AG (19.04.2010)
» Malmsbury, Harrington and Seaford (04.03.2010)
» Matterhorn International (17.02.2009)
» MCC Mariaux Chèvre & Cie (17.08.2009)
» Mercaforex, Silver Holdings International Ltd. (13.01.2010)
» Mercury Forex Investments Assets Ltd. (03.12.2009)
» MonMach Marine Insurance Company Ltd. (06.04.2009)
» Neuburg Financial AG (19.05.2009)
» Noble Advisory Group (06.07.2009)
» Pacon Capital S.A. (24.08.2009)
» Private Equity Capital Group (06.11.2009)
» Protected International Inc. (14.01.2010)
» Quantum Asset Management (21.01.2010)
» Ranston Ltd. (14.10.2009)
» Ruluso Holding Ltd. (23.07.2009)
» S.B.E. Bank (12.04.2010)
» Saxonia Sparkasse Inc. (06.04.2009)
» SBC Swiss Bank Control (21.07.2010)
» SCT Bank, Ltd. (21.04.2010)
» SFP Private Banking (25.02.2009)
» SFR AG (Swiss Finance Research AG) (26.11.2009)
» Sigma Trading Limited (15.04.2009)
» Skyline Advisory Group (17.02.2009)
» Sophisticated Investor, Inc. (18.09.2009)
» SP Trade Investment Capital Ltd. / SP Trader Fund (10.07.2009)
» Sterling Asset Management AG (04.05.2010)
» Stonehard Consulting d.o.o. (09.11.2009)
» Suisse Life Securities (Suisse) (04.05.2009)
» Swiss Agricole Asset Management (23.12.2009)
» Swiss Bellair Bank (08.04.2010)
» swiss capital assets (16.07.2009)
» Swiss Finance Research AG (18.09.2009)
» Swiss Futures Trading Commission (26.07.2010)
» Swiss Key Equity Consult AG (24.06.2009)
» Swiss Siam Investment Club (12.04.2010)
» Swissridge International Corp. (16.02.2010)
» Switzerland Investment Group (26.11.2009)
» The Crown Group CH (21.04.2010)
» Thomas Moore (21.09.2009)
» Tradewaves Asset Management S.A. (07.06.2010)
» Turner Mayfield Advisory A.G. (31.03.2009)
» Unispar Banque PLC (01.02.2010)
» VanFunds / Vandior Inc. (23.09.2009)
» Ventana Biotech Inc. (18.09.2009)
» Weyhill Establishments (04.01.2010)
» William Smith Partners (10.03.2010)
» Woodbridge Business Corp. (19.05.2009)
» Zinnwald Financiers (23.06.2009)
» Zucomex The Zurich Commodities Exchange (05.11.2009)
» Zurich Capital Gruppe (25.01.2010)
» Zurich Direct (12.05.2010)
The list below, published by FINMA, shows companies and persons who seem – due to their activities in or from Switzerland, or based on the description of their purpose according to the entry in the commercial register – to perform activities that fall under FINMA's supervision without possessing the necessary authorisation to do so. Inclusion on the list does not necessary mean that the company is performing an illegal activity; however, investors should be made aware that the companies listed here do not have authorisation from FINMA. The list contains the names of the companies and persons in question, their date of inclusion and any other information that may help to protect investors. Companies and persons will be removed from the list as soon as the necessary investigations have been completed and any changes that may be required have been made.
With entry in the commercial registry / physical presence in Switzerland
» ATLANTIS EXPLORATION AG (10.06.2009)
» Biotech Development (Schweiz) AG (18.09.2009)
» Cash Group AG (21.12.2009)
» Dividium Capital Ltd, Isle of Man (30.04.2009)
» Empresa Minera (Bergbau) AG (04.11.2009)
» FORINVEST (Switzerland) SA in Liquidation (30.03.2010)
» Helvetia Treuhand GmbH (17.02.2009)
» Helvetia Treuhand-Union GmbH (17.02.2009)
» HouseFX AG (12.05.2010) » S.B.E. Financial SA (12.04.2010)
» SBAG – Schweizerische Börsenabwicklungsgesellschaft mbH (17.02.2009)
» Seabed Invest AG (10.06.2009)
» Steinberg Investment Research AG (17.02.2009)
» SWAG – Schweizerische Wertpapierabrechnungsgesellschaft AG (17.02.2009)
» Swiss Credit Trust AG (21.04.2010)
» SwissAudit Aktiengesellschaft (08.02.2010)
» United Trust of Switzerland S.A. (14.04.2009)
» WESTGATE Financial AG (31.03.2009)
No entry in the commercial registry / physical presence in Switzerland
» AA Capital (23.09.2009)
» AJPA Broker SA (05.05.2010)
» Associated Management Group (AMG Zurich) (16.02.2010)
» AVM AG (15.12.2009)
» Barringer and Co. (30.06.2009)
» Basel Institutional (16.07.2009)
» BelSwissBank (03.11.2009)
» Bergues Invest SA (20.10.2009)
» Blanc & Baumar (18.09.2009)
» Brett Commodities GmbH (12.02.2010)
» Bright Capital Banker Ltd (22.12.2009)
» Britannia Swiss Equities, BSE AG (07.09.2009)
» Bullion Trading Group (04.11.2009)
» Calvin & Sanderson Associates (25.11.2009)
» CH Devisen Macht SA (06.01.2010)
» Colebrooke Management Holdings (26.04.2010)
» Commercial Development Bank (21.01.2010)
» Condor Gold and Minerals Inc. (07.12.2009)
» Coninvest Finanz AG (17.04.2009)
» Crédit Mirabaud (03.09.2009)
» Creditnet Bank Internationale (19.02.2009)
» Darier Asset Management (06.04.2009)
» Delmont Wealth Management (07.05.2009)
» Dow Win Financial Group Corporation (24.03.2010)
» Dupont Conseille AG (03.02.2010)
» eBank24 Corporation (21.12.2009)
» Ecumoney Limited (04.11.2009)
» EFD Financial Group (12.05.2010)
» E-Money Power (EMPFX) (11.06.2009)
» Equinox Private Consultants Ltd. (05.02.2010)
» Ethos World Bank (24.03.2009)
» Eurogoldtrader (03.09.2009)
» European Money Management (07.09.2009)
» Fine Trading Group (19.08.2009)
» Finvest Asset Management (31.03.2009)
» First Invest Swiss Trade (05.08.2009)
» Floris Bank (02.06.2009)
» Foreign Exchange Clearing House Ltd. (19.02.2009)
» Forexyard (23.09.2009)
» Forst Finance AG (04.05.2009)
» Freeman International (07.06.2010)
» FXTSwiss (21.09.2009)
» Gemeinnützige Baugenossenschaft Helvetica e.G. (28.06.2010)
» Global Foreign Exchange (Switzerland) AG (17.02.2009)
» Global Pension Plan (03.09.2009)
» Gordon Marks Capital (21.07.2010)
» GrandSlam AM Services AG (14.06.2010)
» GRP Finance Holding Group Limited (16.08.2010)
» GTO Gap Trading Online (29.07.2009)
» Gulf Oil Exploration Inc. (Gulf Oil Exploration (Anguilla) Ltd.) (03.02.2010)
» Hamilton Associates A.G. (12.05.2009)
» HBW-Finanz AG (04.06.2009)
» Hentsch & Müller S.A. (05.11.2009)
» IAZ & Partners (22.12.2009)
» IFS International Financial Services Inc., Las Vegas (25.03.2009)
» Imperia Invest IBC (14.04.2010)
» Inter Credit Group, Kiev (24.02.2009)
» Interbank Asset Management Group AG / InterBank AG (30.04.2009)
» Interbank Investment Funds Corp (22.06.2010)
» Intercontinental Financial Developments Plc. (24.08.2009)
» Investment Suisse / Investment Suisse S.A. (03.03.2010)
» Investor Relations Corp. ('IRC') (15.05.2009)
» ISR Management & Consulting Ltd (19.11.2009)
» Jefferies Associates Group (15.01.2010)
» Kanat finance (22.06.2010)
» KCP Bank (14.10.2009)
» Kirkland Lee (24.03.2009)
» Kutag Capital Partners AG (15.12.2009)
» Kutag Group (02.07.2009)
» Lange Vermögensberatung GmbH (18.03.2010)
» Locstein Asset Management AG (19.04.2010)
» Malmsbury, Harrington and Seaford (04.03.2010)
» Matterhorn International (17.02.2009)
» MCC Mariaux Chèvre & Cie (17.08.2009)
» Mercaforex, Silver Holdings International Ltd. (13.01.2010)
» Mercury Forex Investments Assets Ltd. (03.12.2009)
» MonMach Marine Insurance Company Ltd. (06.04.2009)
» Neuburg Financial AG (19.05.2009)
» Noble Advisory Group (06.07.2009)
» Pacon Capital S.A. (24.08.2009)
» Private Equity Capital Group (06.11.2009)
» Protected International Inc. (14.01.2010)
» Quantum Asset Management (21.01.2010)
» Ranston Ltd. (14.10.2009)
» Ruluso Holding Ltd. (23.07.2009)
» S.B.E. Bank (12.04.2010)
» Saxonia Sparkasse Inc. (06.04.2009)
» SBC Swiss Bank Control (21.07.2010)
» SCT Bank, Ltd. (21.04.2010)
» SFP Private Banking (25.02.2009)
» SFR AG (Swiss Finance Research AG) (26.11.2009)
» Sigma Trading Limited (15.04.2009)
» Skyline Advisory Group (17.02.2009)
» Sophisticated Investor, Inc. (18.09.2009)
» SP Trade Investment Capital Ltd. / SP Trader Fund (10.07.2009)
» Sterling Asset Management AG (04.05.2010)
» Stonehard Consulting d.o.o. (09.11.2009)
» Suisse Life Securities (Suisse) (04.05.2009)
» Swiss Agricole Asset Management (23.12.2009)
» Swiss Bellair Bank (08.04.2010)
» swiss capital assets (16.07.2009)
» Swiss Finance Research AG (18.09.2009)
» Swiss Futures Trading Commission (26.07.2010)
» Swiss Key Equity Consult AG (24.06.2009)
» Swiss Siam Investment Club (12.04.2010)
» Swissridge International Corp. (16.02.2010)
» Switzerland Investment Group (26.11.2009)
» The Crown Group CH (21.04.2010)
» Thomas Moore (21.09.2009)
» Tradewaves Asset Management S.A. (07.06.2010)
» Turner Mayfield Advisory A.G. (31.03.2009)
» Unispar Banque PLC (01.02.2010)
» VanFunds / Vandior Inc. (23.09.2009)
» Ventana Biotech Inc. (18.09.2009)
» Weyhill Establishments (04.01.2010)
» William Smith Partners (10.03.2010)
» Woodbridge Business Corp. (19.05.2009)
» Zinnwald Financiers (23.06.2009)
» Zucomex The Zurich Commodities Exchange (05.11.2009)
» Zurich Capital Gruppe (25.01.2010)
» Zurich Direct (12.05.2010)
Danish Financial Supervisory Authority warns against Morgan Franklin Investment Inc.
The Danish Financial Supervisory Authority has been informed that Morgan Franklin Investment Inc. unsolicited has offered to carry out financial services. The company's address is unknown. The company's homepage is http://www.mgfii.com/english_index.htm.
Morgan Franklin Investment Inc. does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.
The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/sw1296.asp).
Contact person: Natascha Ottsen
Direct phone no.: +45 33 55 83 79
Morgan Franklin Investment Inc. does not have authorization from the Danish Financial Supervisory Authority in accordance with the Financial Business Act to carry out such services in Denmark.
The company has not been notified in Denmark from any foreign Financial Supervisory Authority.
Companies which are authorized to carry out financial services in Denmark can be found at The Danish Financial Supervisory Authority's homepage (www.dfsa.dk/sw1296.asp).
Contact person: Natascha Ottsen
Direct phone no.: +45 33 55 83 79
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