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William Smith and Company

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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 25 May 2011, the FMA informs that

William Smith and Company
with alleged office in

Smithfield Business Centre
5 St. John’s Lane
London EC1M 4BH

as well as

Lyoner Straße 14
Frankfurt, Germany

as well as

103-1A Brivibas Street
Riga, Latvia, LV-1001

as well as

Seeger Haus
Kirchstraße 12
FL-9494 Schaan, Liechtenstein

Phone: +44 20 8588 0643
Fax: +44 2030145382

is not entitled to provide investment services in Austria requiring a licence. The provider is therefore neither entitled to provide investment advice in relation to financial instruments pursuant to Article 3 para. 2 no. 1 WAG 2007 nor to provide the reception and transmission of orders in relation to one or more financial instruments pursuant to Article 3 para. 2 no. 3 WAG 2007.

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