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Whistleblower-System

Ledger Capital Management

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The Austrian Financial Market Authority (FMA), inter alia pursuant to Article 4 para. 7 of the Bankwesengesetz (BWG; Banking Act), 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 banking transactions (Article 1 para. 1 BWG), 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 30.10.2018, the FMA hereby informs that

Ledger Capital Management

Daiwa Aoyama Bldg, 25th Floor,
Jingumae 3-chome
Shibuya-ku, Tokyo
Japan

Kimley Commercial Building,
142-146 10/A Queen’s Road Central
Central, Hong Kong

info@ledgercaptmgt.com
http://www.ledgercaptmgt.com/

is not entitled to carry out banking transactions in Austria that require a licence. The provider is prohibited from participating in underwriting third-party issues of one or more of the instruments listed under no. 7 lit. b to f as well as related services (third-party securities underwriting business pursuant to Article 1 para. 1 no. 11 BWG);

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