20.10.2010 Hoiatusteade Source One International tegevuse kohta (Austria)

I N V E S T O R W A R N I N G

Pursuant to Article 92 para. 11 first sentence of the 2007 Wertpapieraufsichtsgesetz (WAG 2007; Securities Supervision Act), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, in the official gazette “Amtsblatt zur Wiener Zeitung”, or in any other newspaper with nationwide circulation, that a particular natural or legal person is not entitled to carry out certain investment services (Article 3 para. 2 nos. 1 to 4 WAG 2007), provided that said person has given cause for such action and informing the general public is deemed necessary and reasonable with regard to possible disadvantages of the person concerned.

By publication in the official gazette “Amtsblatt zur Wiener Zeitung” of 20 October 2010, the FMA informs that

Source One International
Level 11, Aoyama Palacio Tower,
3-6-7 Kita-Aoyama, Minato-Ku
Tokyo 107-0061
Japan
Tel: +81-3-4520-6306
Fax: +81-3449-64129
E-Mail: info at sourceoneinternationalmail dot com
Web: www.sourceoneinternational.com

is not entitled to provide investment services in Austria requiring a licence. The provider is therefore neither entitled to provide investment advice in relation to financial instruments pursuant to Article 3 para. 2 no. 1 WAG 2007 nor portfolio management by way of managing portfolios in accordance with mandates given by clients on a discretionary client-by-client basis where such portfolios include one or more financial instruments pursuant to Article 3 para. 2 no. 2 WAG 2007 or the reception and transmission of orders in relation to one or more financial instruments pursuant to Article 3 para. 2 no. 3 WAG 2007.