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 27 April 2016, the FMA informs that
Arthur-Sera Limited
with alleged business location in:
64 Earth Close
Office 22-3
Grand Cayman KY11203
Cayman Islands
As well as:
Cerulean Tower
26-1 Sakuragaoka-cho
Shibuya-ku
Tokyo
Japan 150-8512
Tel: +813 4520 9293
As well as:
Nexxus Building
41 Connaught Road
Central, Hong Kong
Tel: +852 5803 2318
david.reed(at)arthur-sera.com
www.arthur-sera.com
is not entitled to provide investment services in Austria requiring a licence. The provider is therefore not entitled to provide investment advice in relation to financial instruments pursuant to Article 3 para. 2 no. 1 WAG 2007.