TheAFM warns against Dauphin Asset Europe
The Netherlands Authority for the Financial Markets (AFM) is warning investors not to accept
any offers for investment services made by Dauphin Asset Europe. The AFM believes that
Dauphin Asset Europe is offering and has provided investment services in the Netherlands without
a licence or exemption. The AFM has received complaints from consumers who have been
approached by phone by Dauphin Asset Europe. Offering and providing investment services in the
Netherlands without a licence or an exemption constitutes a violation of Article 2:96 of the Act on
Financial Supervision [Wet op het financieel toezicht].
Dauphin Asset Europe uses the following addresses for its investment services operations:
Seefeldstrasse 69, 2nd Floor, Zurich, Switzerland.
The AFM advises investors wanting to do business with an institution or person to first check the
relevant register on the AFM website to see whether the institution or person in question is
registered and authorised to offer or provide investment services in the Netherlands. The AFM
also urges investors to consult the warning lists in advance. The three AFM warning lists are
available online at www.afm.nl/waarschuwingsliisten <http://www.afm.nl/waarschuwingsliisten>:
(1) institutions and individuals without the licence required by law, (2) institutions which do not
issue a prospectus along with their securities as required by law, and (3) institutions against which
foreign supervisory authorities have issued warnings. Investors who have any queries or
complaints should contact the Financial Markets Information Line on +31 20 797 3715.