Investeringswaarschuwing – Beleggerswaarschuwing!AAOption
- Waarschuwing CNMV Spain
CNMV WARNS THE PUBLIC ON UNREGISTERED FIRM
Pursuant to the second paragraph of Article 17 of the Securities Markets Law (recast approved by Royal Legislative Decree 4/2015, of 23 October), the Comisión Nacional del Mercado de Valores warns that:
is not authorisedto provide the investment servicesdetailed in Article 140 of the Securities Markets Law, which includes investment advice, or provide the auxiliary services detailed in letters a), b), d), f) and g) of Article 141 of said Law, in relation to the financial instruments detailed in article 2 of the said Law, including, to those purposes, transactions on foreign currency.
For any query, please contact the Comisión Nacional del Mercado de Valores enquiry line at902 149 200 or visit the CNMV’s web site(www.cnmv.es).
16th January 2017.
2018-09-10, Public warning by MAS Singapore against AAoption
Investor Alert List
Who may provide financial services in Singapore?
Persons providing financial services in Singapore are required to be licensed, exempt or otherwise regulated by the Monetary Authority of Singapore (MAS) to carry out activities regulated under the relevant laws administered by MAS.
The names of regulated persons in respect of the provision of financial services under the various Acts administered by MAS are listed on MAS' website in the Financial Institutions Directory.
Why should consumers not deal with unregulated persons?
Persons providing financial services in Singapore are required to be licensed, exempt or otherwise regulated by the Monetary Authority of Singapore (MAS) to carry out activities regulated under the relevant laws administered by MAS. The names of regulated persons in respect of the provision of financial services under the various Acts administered by MAS are listed on MAS' website in the Financial Institutions Directory.
Consumers seeking financial services are strongly encouraged to deal only with persons that are regulated by MAS. MAS' regulatory regime aims at safeguarding the interests of consumers by ensuring that only competent and professional persons may provide financial services. The laws administered by MAS also require disclosure of information on investment products being recommended to consumers. If a consumer chooses to deal with persons that are not regulated by MAS, he forgoes the protection afforded under laws administered by MAS, particularly if these persons are based overseas.
MoneySENSE has issued consumer alerts highlighting the common techniques used by persons that are not regulated by MAS to solicit business and the risks involved. These persons may target Singaporean consumers or overseas consumers by giving them the false impression that they are operating in Singapore. Some of these unregulated persons may sometimes use names similar to that of entities regulated by MAS. The alerts also inform consumers of the steps they can take to protect themselves. Click here to access the alerts.
The Investor Alert List
From time to time, MAS receives information on unregulated persons who have been mistaken as being licensed or authorised by MAS. Consumers should exercise care when dealing with these persons or with other persons acting on their behalf. Overseas consumers who receive solicitations by persons who claim to have an operation in Singapore should also exercise care and check if they are in fact dealing with persons who are regulated by MAS.
Below is a list of unregulated persons who, based on information received by MAS, may have been wrongly perceived as being licensed or authorised by MAS. The information published on the Investor Alert List is based on what was known to MAS at the time of publication. The list is not exhaustive and will be updated.
If you suspect that an unregulated person has committed an offence of a commercial or fraudulent nature, you may wish to refer your case to the Commercial Affairs Department.