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Cavendish & Finch

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Pursuant to Article 92 para. 11 first sentence of the Securities Supervision Act of 2007 (WAG 2007, Wertpapieraufsichtsgesetz 2007), 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 (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 12 September 2017, the FMA hereby informs, that

Cavendish & Finch

with its registered address apparently at

Floor 2

Aspern IQ Building

Seestadtstraße 27

1220 Vienna


+43 720 1155 81

+43 720 1168 36

[email protected]

[email protected]

[email protected]

is not entitled to provide investment services in Austria that require a licence. The provider is therefore not permitted to provide commercial portfolio management in relation to financial instruments (Article 3 para. 2 no. 2 WAG 2007).