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Rothmann & Ginst

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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 23 December 2017, the FMA hereby informs, that

Rothmann & Ginst

with its registered address apparently at

Coppergate House Business Centre
16 Brune Street
London E1 7NJ
United Kingdom

Tel: +44 20 80890579
Fax: +44 20 80890708

as well as

Midtown East
641 Lexington Avenue
New York NY 10022
United States of America

Tel: +1 917 2849865
Fax: +1 917 73412268

as well as

43, Avenue John F. Kennedy
1855 Luxembourg

Tel: +35 2 20301705
Fax: +35 2 27862261

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 2007).

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