Falkenstein und Stein

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Pursuant to Article 92 para. 11 first sentence of the Securities Supervision Act of 2018 (WAG 2018, Wertpapieraufsichtsgesetz 2018), the Austrian Financial Market Authority (FMA) may disclose to the general public by publication on the Internet, 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 2018), 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 19 October 2018, the FMA hereby informs that

Falkenstein und Stein

with its registered address apparently at

Hardstrasse 201
Zürich 8005
Switzerland

Tel: +41(44)5087484
Fax: +41(43)5088914

as well as

200 West St
New York, NY 10282
United States of America

Tel: +1(917)79305567
Fax: +1(917)7930577

as well as

52 Criswell Street
London, EC1Y4SA
United Kingdom

Tel: +44(20)38071984
Fax: +44(20)37691489

info@falkenstein-stein.com
www.falkenstein-stein.com

is not entitled to provide investment services in Austria that require a licence. The provider is therefore not permitted to provide commercial investment advice in relation to financial instruments (Article 3 para. 2 no. 1 WAG 2018).