Category: NFA ANNOUNCEMENTS AND INVESTOR ALERTS
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7/13 “Cold Calling” – Investors Alert: List of non-registered or non-authorized entities with the FSAF. FSA reports Japan is claimed location of callers.
copied from the JFSA website
resource link: http://www.fsa.go.jp/en/refer/cold/
____________________________________________________________________
“Cold Calling” – Investors Alert
- Today, so-called “Cold Calling,” a fraudulent practice aimed at soliciting investors, is conducted all over the world. “Cold-calling” is a practice where by an entity disguises itself as a brokerage firm or an asset management firm and approaches potential investors via non face-to-face channels, such as by phone, fax, and emails, in order to solicit investment in securities or financial products. Typically, a “cold caller” makes unsolicited calls to potential investors, cajoles them into deciding to purchase certain securities, and then, becomes unavailable for contact after the investor sends the money for that purchase. As a result, the investors cannot obtain the securities although they made the payment, and they also cannot get back the money they paid. Investors need to be more careful and vigilant, as cold callers have been using more varied and more sophisticated tactics. (For example, some cold callers execute transactions properly and make profits for investors at first. Then, they solicit bigger transaction and make the investors transfer the money for it. After that, the cold callers disappear.)
- In most countries, a person is required to be registered with or licensed by the national regulatory body before conducting solicitation of securities transactions. However, cold-callers do not have such registration or licenses. One of the characteristics of cold callers is that it is extremely difficult to discover their whereabouts. Many cold callers indicate their office locations on their websites (or documents sent to investors), but they rarely operate at that location. Apparently, cold callers intentionally hide their whereabouts, so that they can avoid being visited by the investors they approach. Notably, it is very typical that cold callers claim that they are located in a country that is different from the location of the prospective victim. For example, there are many cases in which cold callers that have approached American or European investors claims that to have an office located in Japan (at a building in Tokyo, for instance.)
-
The FSA has received extensive information from overseas investors and foreign regulators with regard to cold callers who claim to be located in Japan. The FSA has made a list of entities which are not registered with or authorized by the FSA under the Financial Instrument and Exchange Act of Japan. Investors should be very careful and vigilant about conducting business with these entities, potentially opting against conducting any transactions via these entities.
- Recognizing the need for cooperation among securities regulators in order to combat cold calling, the International Organization of Securities Commissions (IOSCO) – the international body consisted of securities regulators around the world – publicized a statement for investors alert on cold calling in February 2002 (see attachment). In the context of such international cooperation, the FSA brings attention and warning to investors by putting the list of suspected cold-callers below. Likewise, foreign regulators publicize the same kind of list and issue warnings to investors on their own websites. When you are solicited by an entity to invest in certain securities, it is very important for you to check the list below as well as other regulators’ websites in advance of making decisions.
- It has been noted that the entities listed below do not cover all exiting cold callers in the world. Other cold callers may exist. Therefore, it is recommended that investors check not only the list below, but also the “List of licensed (registered) Financial Institutions” and confirm whether the entity is registered with the FSA. If not registered, sufficient caution is necessary, such as not having a business with such entities.
List of non-registered or non-authorized entities with the FSA
Below is the list of non-registered or non-authorized entities with the FSA, based on information received from investors. Investors should be aware that the solicitations of investment by these listed entities have a possibility of cold calling. Please be reminded that other suspected cold callers may exist and additional entities may be listed. Please also be advised that there have been cases where different companies were located in addresses indicated in the list below. The fact that the address is put in the list below does not mean that such companies have any connection to the listed entities.
******* Latest Update (Posted on July 2013) *******
- (1) Capitol Trade
- Holland Hills Mori Tower Floor 9 5-11-1 Toranomon Tokyo
Phone: 81 3 4520 6362
FAX: 81 3 4496 4366
http://www.capitoltrade.com - (2) MTR Global
- 12/F Tokyo Banker’s Club Build, 1-7-2 Maruouchi, Chiyoda-ku, Tokyo 100-0005. Japan
Phone: 81 3 6388 0372
FAX: 81 3 6388 0373
http://www.mtrglobal.com - (3) New Gold Capital
- Hibiya Central Building 1-2-9 Nishi-Shinbashi Minato-ku Tokyo 105-0003 Japan
Phone: 81 3 6745 8443
FAX: 81 3 6745 9396
http://www.newgoldcapital.com - (4)Solomon Layb
- Roppongi Tower 7-10-2 Chiyoda Business Park 2-5-4 Kojimachi Chiyoda-ku Tokyo 102-0083 Japan
http://www.solomon-layb.com - (5)Stockbridge Partners
- Yasuda Seimei Building Floor 18 3-3-20 Umeda, Osaka, Japan
Phone: 81 6 4560 4039
FAX: 81 6 7635 4783
http://stockbridgepartners.com/index.php - (6)WB Global
- Azabu East Court, 2-22-5 Higashi Azabu Minato-ku, Tokyo, 106-0044 Japan
Telephone:+81 3 4588 8725
www.wbglobal.net
(fictitious regulators and securities/financial exchanges)
- (7)Yokohama Mercantile Exchange (YKMEX)
- Naka-ku Tower Nogecho 3-13-7 Yokohama Kanagawa Prefecture,231-0064 Japan
http://www.ykmex.org
********************************************
- Abramson International
- 1-20-7, Nihonbashi, Chuo-ku, Tokyo 103-0027
TEL: +81-3-4520-9345 / FAX: +81-3-6385-7621
http://www.Abramsoninternational.com - Alderman Associates Ltd
- Arca Central Building 14F, 1-2-1 Kinshi, Sumida-ku, Tokyo 130-0031 Japan
TEL: +81-3-4520-9536 / FAX: +81-3-6385-7599
http://www.aldermanassociatesltd.com - Anderson Munro
- Nihonbashi Mitsui Tower 39th Floor, 2-1-1 Nihonbashi-Muromachi, Chuo-ku, Tokyo 163-1030 Japan
TEL: +81-3-5456-5074 / FAX: +81-3-4496-4380
http://andersonmunro.com - Aozora Alliance
- World Udagawa Building, 3F, 36-6 Udagawa-cho, Shibuya-ku, Tokyo 150-0042,JAPAN
+81-3-4496-6021 / FAX+81-3-4496-6031
http://www.aozoraalliance.com - Apex Trading Group
- 18th Floor, Tokyo Sankei Building, 1-7-2 Ohtemachi, Chiyoda-ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4940 / FAX: +81-3-4496-4941
http://www.apex-tg.com - Asia Pacific Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0446 / FAX: +81-3-4496-5042
http://asiapacificgroup.com - Asset Brokerage Network
- Level 14 Shibarikyu Shiodome, 5-3 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-4580-0937, +81-3-4550-6882, +81-3-4590-3121 / FAX: +81-3-4496-4045
http://www.abn-group.com - Atlantic Administration
- Cerulean Tower, 26-1 Sakuragaoko-Cho, Shibuya-Ku, Tokyo 150-8512 Japan.
- Axis Corporate Finance
- Level5 Shinsaibashi Plaza Building Shinkan 3-12-21 Minami-Senba, Chuo-ku Osaka 542-0081
TEL: +81-3-4520-8929 / FAX: +81-6-6537-1926
http://www.axiscf.com - Barlow & Ramsey
- Sanno Park Tower Bldg. 2-11-1 Nagata-Cho, Chiyoda-ku, Tokyo 100-6113 Japan
TEL: +81-3-4496-5211 / FAX: +81-3-4496-5212 - Beacon Global Advisors
- 15th Floor, Cerulean Tower, 26-1 Sakuragaoka-cho, Shibuya-Ku, Tokyo 150-8512 Japan
TEL: +81-3-5456-5037 / FAX: +81-3-4496-4047
http://www.beacon-global.com - Blue Sky Solutions Inc.
- 7-24 Nihonbashi Kabutocho, Chuo-Ku, Tokyo 103-0026 Japan
http://www.blueskysolutionsinc.com - Bowden Ventures
- 2-1 Nihombashi Kabuto-cho, Chuo-ku, Tokyo 103-8220 Japan
TEL: +81-3-4580-1727 / FAX: +81-3-4496-4011 - Brentwood Group Ltd.
- Level 15, Tokyo Ginko Kyokai Building, 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4580-1760, +81-3-6688-4521 / FAX: +81-3-4496-6228
http://www.brentwoodgpinter.com - Bridgestone Trading Ltd
- Level 28, Shinagawa Intercity Tower A, 2-15-1 Konan,Sumida-ku, Tokyo 108-6028
TEL: +81-3-6717-4200 / FAX: +81-3-6717-4201
http://bridgestonetrading.com/company.php
* Bridgestone Corporation has no association whatsoever with the organization. - Brookdale West Capital Management
- 15th Floor Gate City Ohsaki-West Tower, 11-1, Osaki 1-chome, Shinagawa-ku, Tokyo 141-0032
TEL: +81-345-209-677
http://brookdalewest.com - Brunswick Knight
- TEL: 03-4800-400771
http://www.brunswick-knight.com - Cahill & Audleman
- 502 Hillside Kagurazaka, 3-6-10 Kagurazaka, Shinjyuku-Ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4790 / FAX: +81-3-4496-4791 - Calderton Capital Partners
- Nihonbashi 1-chome Building, 1-4-1 Nihonbashi Chuo-ku, Tokyo 103-0027 Japan
TEL: +81-3-4588-4048
http://www.caldertoncp.com/index.html - Cambridge Capital
- Yebisu Garden Place Tower 18 Fl. 4-20-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-5148-8730 / FAX: +81-3-3779-5022
http://www.cambridge-capital.com/index.html - Campbell & Co. Ltd.
- Suite 401, Hanahara Bldg.5, 7-8-17 Nishinakajima, Yodogawa-ku, Osaka 532-0011 Japan
TEL: +81-06-6101-0356 / FAX: +81-06-6101-0357
http://www.campbellasia.com - Capital Plus Group
- 14F Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2121 / FAX: +81-3-4496-4904 - Carlton First Capital
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku, Tokyo 141-0021 Japan
http://www.carltonfirstcapital.com/index.html - Carnegie Advisors Ltd.
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Carter Sinclair Ltd
- 31F Osaka Kokusai, 2-3-13 Azuchi-machi, Chuo-ku, Osaka 541-0052 Japan
TEL: +81-6-4964-2616 / FAX: +81-6-4964-2628
http://www.carter-sinclair.com/contact.htm - Charles Fleming Co.
- Sanno Park Tower Bldg., 2-11-1 Nagata-Cho, Chiyoda-Ku, Tokyo 100-6172 Japan
TEL: +81-3-5456-5026 / FAX: +81-3-4496-4464 - Citadel Group International
- Level 8 Pacific Century Place 1-1-11 Marunouchi, Chiyoda-ku Tokyo 100-6208 Japan
- Citigroup Global Funds Incorporated
- 2-17-5 Shibuya Shibuya-ku, Tokyo 150-0002
TEL / FAX: +81-3-4496-4342
http://www.cgfi.biz
* The Citigroup companies in Japan have no association whatsoever with the organization. - Colony Capital and Associates
- 20th Floor Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-ku, Tokyo 100-6332 Japan
TEL: +81-3-4520-9323 / FAX: +81-3-4496-4202
http://colonycapitalassociates.net/contact-us.htm - Commercial First Group
- Level3 Tokyo Bankers Club Building, 1-3-1 Marunouchi, Chiyoda-ku, Tokyo 100-0005, Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-6293
http://comfirstgroup.com - Conquest Mergers
- Cerulean Tower, 36-1, Sakuragaokacho, Shibuya-ku, Tokyo, Japan
TEL: +81-3-4550-0330. - Cook Capital Partners
- 4-9-7 Roppongi, Minato-ku, Tokyo 106-0032 Japan
TEL: +81-3-4550-0325 / FAX: +81-3-4496-5013
http://www.cookcp.com - Cooper & Daniels Company
- 24F Osaka Ekimae dai 3 bldg, Umeda, Kita-ku, Osaka 1-1-3-500 Japan
TEL: +81-6-4560-4011
http://www.cooperdaniels.com - Cornerstone Worldwide
- Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-ku, Tokyo 105-0003 Japan
TEL: +81-3-4520-9241 / FAX: +81-3-4496-4170
http://www.cornerstoneworldwide.com - Crosby Capital Partners
- 3rd Floor, 4-3-14 Toranomon, Minoto-ku, Tokyo 105-0001
http://crosbycp.com - Crown Point Mergers and Acquisitions Limited
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-1030 Japan,
http://www.crownmergers.com - Dai-ichi Securities
- 15th floor, KDDI Otemachi building, 1-8-1 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4496-4201 / FAX: +81-3-4496-4202
http://www.dai-ichi-securities.com - Daine Financial Trust Management
- Level 29, Shinjuku Nomura Building, 1-26-2 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-0532 Japan
TEL: +81-3-4550-6877
http://www.dainefinancialtm.com - Dawson & Fielding Inc.
- 8th Floor, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: 81-3-4578-9266 / FAX+81-3-4496-6155
http://www.dawsonfielding.com - DES Options
- AIG Umeda Bldg, 1-27 Chayamachi, Kita-ku, Ohsaka-shi, Osaka 530-0013 Japan
TEL: +81-6-4560-4004 / FAX: +81-3-6537-1712
http://www.desoptions.com - De Verre Lloyd & Co.,Ltd.
- TEL: +81-3-5456-5369
- Direct Mergers & Acquisitions Inc.
- 17th Flr., Resona Maruha Bildg., 1-2 Otemachi 1-chome, Chiyoda-ku, Tokyo Japan 100-0004
Tel: +81-3-4579-0599 / FAX: +81-3-6369-3657
http://www.directmergersacq.com - Dragon Securities
- 502 Hotta-kata, 3-6-10 Hirusaido, Kagurazaka, Shinjyuku-ku, Tokyo 162-0825 Japan
TEL: +81-3-4496-4800 / FAX: +81-3-4496-4801 - Drake Merger Management
- 8th flr., Kanematsu Bidg., 14-1, Kyobashi 2-chome, Chuo-ku, Tokyo, Japan 104-0031
TEL: +81-3-4578-0424 / FAX: +81-3-6745-1142
http://www.drakemerger.com/ - Dreyfus Securities Ltd.
- TEL: +81-3-5404-3826
- Drexel Asset Management
- TEL: +81-3-5325-3043, +81-3-5219-1509
- Dulton Group
- 2-14-10 Kanda Jinbo-cho, Chiyoda-ku, Tokyo, Japan
- Dunbar Mckenzie Financial Group
- Suite 2A Mizuho Building Kamiosaki, Shinagawa-Ku Tokyo 141-0021
TEL: +81-3-4233-6000 / FAX:+81-3-4233-7000
http://dunbarmckenzie.com/index_files/page0015.htm - Dunleavy Investment Limited
- Level 14 Kamiyacho MT Bldg. 4-3-20, Toramonon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4360-5534 / FAX: +81-3-4360-5535
http://www.dunleavyinvestment.com
Suite B1 AIG Building 1-1-3 Marunouchi, Chiyoda-ku Tokyo 100-0005 Japan
TEL: +81-3-5288-5940 / FAX: +81-5288-5941 - e.go trade incorporated
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
- Equi Asia Group Ltd
- Level 28, Shinagawa Intercity Building, Tower A, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-6717-4321 / FAX: +81-3-6717-4341 - First Equis Ltd.
- Shibuya Mark City West 22F 1-12-1 Dogenzaka, Shibuya-Ku, Tokyo 150-0043 Japan
http://www.firstequis.com - First Prime Group
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4580-1998
http://www.firstprimegroup.com - First Prime International Ltd from Tokyo
- 6-1-6-503 Minami-Aoyama, Minato-Ku, Tokyo, Japan
TEL: +81-3-4550-0476
http://www.firstprimegroup.net - Fox Paine Partners Inc.
- Arca Central Building 14F 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4578-9002 / FAX: +81-3-6385-7639
http://www.foxpainepartnersinc.com - Fujiwata Capital Group
- 1-8-14 Nishimiyahara, Yodogawa-Ku, Osaka 532-0004 Japan
http://www.fujicapgrp.com - Fukumoto, Toshihiro and Partners Futures Trading
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-3-4520-6363 / FAX: +81-3-6385-7561
http://www.ftpfutures.com - Global International Trading
- Level 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-Ku, Tokyo 105-6027 Japan
TEL: +81-50-5809-3362 / FAX: +81-3-4496-6328
http://globalinternationaltrading.com/index.php - Global Strategic Management
- Daitobo Building, Level 6, 20-1 Nihonbashi Hakozakicho, Tokyo, Japan
TEL: +81-3-4520-6364 Fax: +81-3-6745-8961
http://www.globalstrategicmanagement.com/ - Gotthard Capital Partners
- Kasumigaseki Building 28th Floor 2-5, Kasumigaseki 3-Chome, Chiyoda-ku, Tokyo 100-6028
TEL:03-4550-0327 / FAX:03-4496-4849
http://www.gotthardcp.com/index.html - Graham Walker
- 8th floor, Shinjuku Mitsui Building, 2-1 Nishishinjuku, 6-24-1, Shinjuku-ku, Tokyo
TEL: +81-3-4578-9712 / FAX: +81-3-4578-9714
http://www.grahamwalker.com/contactus.html - Greenfield & Mato
- Koraku Mori Bldg. 9F, 1-4-14 Koraku, Bunkyo-Ku, Tokyo 112-0004 Japan
TEL: +81-3-4550-6882
http://www.greenfieldmato.com - Greenfield Consulting
- 2-4-203 Ogikubo, Suginami-Ku, Tokyo, Japan
TEL: +813-5288-5444 / FAX: +813-4496-4922 - Guardian Asset Management
- Atago Green Hills Mori Tower 40F, 2-5-1 Atago, Minato-Ku, Tokyo 105-6240 Japan
TEL: +81-3-4580-1725
http://www.guardian-am.com/contactus.php - Hannan Corporation
Harbor Trading - Roppongi Hills Mori Tower, Level14 6-10-1, Roppongi, Minato-Ku, Tokyo
TEL: +81-3-4578-0191 / FAX: +81-3-6730-9477
http://www.harbortrading.com/ - Hawkins & Doyle
- 18F JT Bldg. 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4580-2168 / FAX: +81-3-4496-5000 - Heritage Mergers and Acquisition
- Kamiya-cho MT Bldg. 4-3-20 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-5404-3560 / FAX: +81-3-4496-4930 - Huber Acquisition Group* previously known as Castle Rock Finance and Hitomi Acquisitions
- 22nd Flr., Atago Green Hills MORI Tower5-1, Atago 2-chome, Minato-ku, Tokyo, Japan, 105-6228
TEL: +81-3-4578-0425 / FAX: +81-3-6745-9383
http://www.huberacqgroup.com/ - Ideal Merger Group
- Tamurakoma Bldg, 5-9 Azuchi-machi 3 Chome, Chuo-ku, Osaka City, Osaka 541-0052
http://www.idealmergergroup.com./ - Jacob & Burns
- Koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
TEL: +81-3-4496-4857 / FAX: +81-3-4496-4320 - Jam Capital Corporation
- Shin Marunouchi Bldg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590 Japan
http://www.jam-capital.com - Kaikatsu Group Limited
- Tokyo Ginko Kyokai Building 1-3-1 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +81-3-4496-5255 / FAX: +81-3-4496-5256, +81-3-4496-5257 - Kearns Investments Inc.
- TEL: +81-3-5288-5414
- Keldione International
- Shinjuku Park Tower N30, 3-7-1 Nishi Shinjuku, Shinuku-Ku, Tokyo 163-030 Japan
FAX: +813-4496-6277
http://keldioneint.com - Kendall Morgan Partners Tokyo
- Akihabara Dai building 76 Sotokanda 1 Chiyoda-ku Tokyo 1001-0021
Tel +81-3-6740-6076 Fax +81-3-6740-8379
www.kendallmorganpartners.com - Kensington International Group Ltd.
- TEL: +81-3-5326-3125
- Keystone Consulting Inc.
- 2-4-1 Toranomon, Minato-Ku, Tokyo 105-6016 Japan
TEL: +81-3-5403-4652 / FAX: +81-3-4496-6060
http://www.keystoneconsultinc.com - Kimura Financial
- 63-2 Horinouchi Oura, Tohoku-machi, Kamikita-gun, Aomori 039-2402 Japan
TEL: +81-3-4496-4064 / FAX: +81-3-4496-4074
http://www.kimurafinancial.com - Kirayaka International
- Head Office 17th Fl., Hibiya Kokusai Building, 2-3 Uchisaiwai-cho 2-chome, Chiyoda-ku, Tokyo 100-0011. Japan
TEL: +81 3 6740 9975, / FAX: +81 3 6740 9976
http://www.kirayakainternational.com/ - Kiyo Financial
- 13-3, Nihonbashi 3-chome, Chuo-Ku, Tokyo 103-0027 Japan
TEL: +81-3-4580-1748 / FAX: +81-3-4496-4243
http://kiyofinancial.com - Lee Hamilton & Associates
- 4th Floor, Palaceside Bldg. 1-1 Hitotsubashi 1-chome, Chiyoda-ku, Tokyo 100-0003 Japan
http://leehamiltonassoc.com - Liberty Securities
- 39th Floor, Shinjuku Nomura Building, Shinjuku, Shinjuku-ku, Tokyo 160-0022 Japan
TEL: +81-50-5809-8850 / FAX: +81-3-4496-6098
http://www.libertysecurities.org/index.php - Linden Ventures
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1030 Japan
TEL: +81-3-4580-2174, +81-3-4580-0927 / FAX: +81-3-4496-4259 - Link Merger & Acquisitions
- 21 Ichiban-Cho, Chiyoda-Ku, Tokyo 102-0082 Japan
TEL: +81-3-4580-2144 / FAX: +81-3-4496-4333 - Maganura Mergers & Acquisitions
- 25-32-408 Sakuragaoka-Cho, Shibuya-ku, Tokyo 150-0031
TEL:+81-3-4520-6367
http://www.maganura-ma.org - Manhattan Fujiwara International
- Arca Central Building 14F, 1-2-1 Kinshi Sumida-ku, Tokyo 130-0013
TEL: +81-3-4496-6277
http://www.manhattanfuji.jp - Mann International
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4550-0334 / FAX: +81-3-4496-4096
http://www.manninternational.com - Masahiro International
- 25-32-408 Sakuragaoka-Cho, Shibuya-Ku, Tokyo, Japan
TEL: +81-3-4580-1656
http://www.masahirointernational.com - Masaru and Associate
- 1-11-4 Akasaka, Minato-Ku, Tokyo 107-8420 Japan
http://masaruassociates.com - Masters Financial Corporation
- 3F-314 Sokendoshumachi building, 2-1-10, Doshumachi, Chuo-ku, Osaka
TEL: +81-6-4560-4004
http://www.mastersfinancialcorp.com - Merit Corporate Finance
- 24F Hankyu Grand Building, 8-47 Kakuda-cho, Kita-ku, Osaka 530-0017 Japan
TEL: +81-6-4560-4006
http://www.meritcorpfinance.com - Milton Hayward Ltd
- Yurakucho Ekimae Building Level 12, Yurakucho 2-7-1, Chiyoda-ku Tokyo 541-0052 Japan
TEL: +81-3-5456-5049 / FAX: +81-3-4496-4021
http://www.miltonhayward.com - Mitsui Asset Management
- Level 12, Edobori Center Building, 2-1-1 Edobori, Nishi-ku, Osaka 550-0002 Japan
TEL: 81-6-4560-4010 / FAX: 81-6-6573-1689
http://www.mitsuiassetmgmt.com
* Sumitomo Mitsui Asset Management Company, Limited and Chuo Mitsui Asset Management Company, Limited have no association whatsoever with the organization - Mitsui Financial
- TEL: +81-50-5534-5315
http://www.mitsuifinancial.com - Mitsui, Lane & Associates
- Level 15, 2-2-1 Toranomon, Minato-Ku, Tokyo 105-0001 Japan
TEL: +81-3-4496-4464
http://www.mitsuilaneandassociates.com - Momentum Consultants Limited
- 807-31, Lions Plaza Ebisu, 3-25-3 Higashi, Shibuya-ku, Tokyo 150-0011 Japan
TEL: +81-3-3668-1362 / FAX: +81-3-3668-1363 - Morgan Financial Advisors
- Nishishinjuku-1, Suite 104 Shinjuku, Skyscraper District, Shinjuku-ku, Tokyo Japan
TEL: +81-3-4550-6896 / FAX: +1-646-3679519, +1-866-3641457
http://www.morgan-advisors.com - Morley Thompson
- 24th Floor, Marunouchi Building, 2-4-1 Marunouchi, Chiyoda-Ku, Tokyo 100-6324 Japan
TEL: +81-3-4580-0920 / FAX: +81-3-4496-5015
http://www.morleythompson.com - New Asia Business Consultants
- 32Floor St. Lukes Tower, 8-1 Akashi-cho, Chou-ku, Tokyo 104-8518 Japan
TEL: +81-3-4520-6303 / FAX: +81-3-4496-6049
http://www.now.asia-consult.com - New England Worldwide Services
- Level 15, Hilton Plaza West Office Tower, 20202 Umeda, Kita-ku, Osaka 530-0001 Japan
TEL: +81-6-4560-4008
http://www.newenglandwwservices.com - New Market Corporation
- Yurakucho 2-7-1, Chiyoda-ku, Tokyo, Japan
TEL: +81-3-4580-2171 / FAX: +81-3-4580-2197
http://www.newmarketcorp.com - NEXT Futures Co. Ltd.
- 2-4-7 Sugamo Toshima-ku, Tokyo 170-0002 Japan
TEL: +81-3-4550-6918 / FAX: +81-3-4496-4085
http://www.nextfutures.com/contact/ - Nikkei Financial
- 36th Floor, Dentsu Honsha Building, 1-10-2 Higashi-Shinbashi, Shiodome SIO-SITE, Minato-ku, Tokyo, Japan
TEL: +81-3-4520-9438 / FAX: +81-3-4496-4029
http://www.nikkei-financial.com - Nishimura Mergers and Acquisition
- 2F Tokyo World Trade Center Bldg. 1-7-8 Kaigan, Minato-Ku, Tokyo 105-0022 Japan
TEL: +81-3-5456-5059 - Norbert Associates
- 9F AIG Bldg. 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005 Japan
TEL: +813-4496-4850 / FAX: +813-4496-4851 - Okamura Asset Management
- Shinjuku Park Tower 30th Floor, 3-7-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-1030 Japan
TEL: +813-4580-2168 / FAX: +813-4496-6417
http://www.okamuraam.com - Okuma Group
- Marunouchi Trust Tower Main 16th Floor, 1-4-3 Marunouchi, Chiyoda-ku, Tokyo 100-0045 Japan
TEL: +81-3-4496-4733 / FAX: +81-3-4496-4734
http://www.okumagroup.com - Oppenheimer Lloyd
- 1-11-3 Marunouchi, Chiyoda-Ku, Tokyo 100-6208 Japan
TEL: +81-3-4578-9054 / FAX: +81-3-4578-9245
http://www.oppenheimerlloyd.com - Oracle Equity Management
- 2-2-8 Nanko-Kita, Suminoe-Ku, Osaka, Japan
TEL: +81-6-4560-4033 / FAX: +81-6-6537-1696 or +81-6-6537-1633
http://www.oracleem.com - Palmer Brown Management Inc
- 5Floor, ThinkPark Tower, 2-1-1 Osaki, Shinagawa-ku, Tokyo 141-6005 Japan
TEL: +81-3-6688-7109 / FAX: +81-3-6688-7089
http://www.palmer-brown.com - Paragon Options Management
- Level 9, Ariake Frontier Bldg. Tower B 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4570-7616 / FAX: +81-3-4570-7616
http://paragonoptionsmanagement.com - Park East Capital
- Level 14, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003 Japan
TEL: +81-3-4496-4250 / FAX: +81-3-4496-4251
http://www.parkeastcapital.com - Pendleton and Associates
- Hanako Building, 34 F 11th Floor, 6-14-17, Showa Dori, Ginza District, Tokyo 104-0061 Japan
TEL: +81-3-3242-6165 / FAX. +81-3-6385-7698
http://www.pendletonandassociates.com - Penn Capital management Ltd
- 1-4-27 Shiromi, Chuo-ku, Osaka 540-8560 Japan
TEL: +81-6-4560-4030 / FAX: +81-6-6537-1768
http://www.penncm.com - Pollack and Quinn
- Shinjuku Mitsui Building, 21st Floor, 2-1-1 Nishishinjukuku, Shinjuku-ku, Tokyo 163-0421 Japan
http://www.pollackquinn.com - Power Point Capital
- 1-5-1 Marounichi, Chiyoda-Ku, Tokyo 100-6520 Japan
TEL: +81-3-4520-9329 / FAX: +81-3-4496-4989
http://www.powerpointcapital.com - Premium Alliance Group
- 28F Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +813-5325-3223 / FAX: +813-5325-3131 - Profidex
- Levels 9-11, AIG Building, 1-1-3 Marunouchi, Chiyoda-Ku, Tokyo 100-0005
TEL: +81-3-5288-5296 / FAX: +81-3-4496-4835 - Rothman Global
- Shibuya Mark City 1-12-1, Dogenzaka, Shibuya, Tokyo 150-0043, Japan
http://rothmanglobal.com - Sachiko International
- 5-3-13 Minami Azabu, Minato-Ku, Tokyo 106-0047 Japan
http://www.sachint.net - Saitou Consulting Financial Solutions
- 2-2-2 Uchi-saiwai-cho Chiyoda-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-9303 / FAX: +81-3-4496-4221
http://saitoucon.com - Sakuma Group
- 105 Kowa Shiba Park Bldg, 3F 1-1-11 Shiba Park, Minato-ku, Tokyo 105-0011
http://www.sakumagroup.com - Sakura Financial Group
- Trusty Kojimachi Bldg, 3-4 Kojimachi, Chiyoda-ku, Tokyo 102-0083 Japan
TEL: +81-3-4496-4348 / FAX: +81-3-4496-4349
http://www.sakurafinancialgroup.com - Scott Fitzgerald Group
- Dogenzaka Kabuto Bldg., Dogenzaka Shibuya-Ku, Tokyo 150-0043
TEL: +81-3-4580-1689
http://www.scottfitzgeraldgroup.com - Securities Intermediary Brokers (SIB)
- Level 27, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4550-6946
http://securitiesintermediarybrokers.jp - Select Capital Management
- 9F AIG Bldg. 2-18-6 Nihonbashi, Chiyoda-Ku, Tokyo 103-0027 Japan
- Shinsei Associates
- 7th F, Kyodo Tsushin Kaikan, 2-5, Toranomon 2-chome, Minato-ku, Tokyo 105-0001 Japan
Tel: +81 3 4496 6021 / FAX: +81 3 4496 6031
https://www.shinseiassociates.com - Shintomi Trading
- 12-21-2 Otemachi, Chiyoda-ku, 100-0004, Tokyo, Japan
http://www.shintomitrading.com/ - Smart Trade Group
- Level 28 Shinagawa Intercity A, 2-15-1, Konan, Minato-Ku, Tokyo 108-6208 Japan
TEL: +81-3-4550-0340 / FAX: +81-3-4496-4 271
http://www.smarttradegroup.com - Smith and White Transfer Agents LTD.
- 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003. Japan
TEL: +81-3-4520-6369
http://www.sw-transferservices.com - Source One International
- Level 11, Aoyama Palacio Tower 3-6-7 Kita-Aoyama, Minato-Ku, Tokyo 107-0061 Japan
TEL: +81-3-4520-6306 / FAX: +81-3449-64129
http://www.sourceoneinternational.com/index.html - Sovereign Global Trading
- Level 21, Shiodome Shibarikyu Building, 1-2-3, Kaigan, Shiodome, Minato-ku, Tokyo 105-0022 Japan
TEL: +813-5403-6368
http://www.sovtrading.com - Sukumo Group
- TEL: +81-3-5219-1528
- Sun Worldwide
- TEL: +81-3-4550-0325 / FAX: +81-3-4496-6375
http://www.sunworldwide.com - Taiyo Financial
- Toyo-cho, Shinei Bldg.12F 4-chome 3-1 Toyo, Koto-ku, Tokyo 135-0016
TEL: +81-3-4550-0458 / FAX: +81-3-4496-4494
http://www.taiyofinancial.com - Takahashi Nakamura Associate
- 1-11-1 Marunouchi, Chiyoda-ku, Tokyo 100-6208 Japan
TEL: +81-3-4550-0322
http://www.takahashinakamura.com - Takeda Financial Co.Ltd
- Kawase Bldg 3-17-5 Shinjuku, Shinjuku-ku, Tokyo 160-0022
TEL: +81-3-4520-9327 / FAX: +81-3-4496-4332
http://www.takedafinancial.com/contact - Takeshi Financial
- 6-2-4 Akasaka, Minato-Ku, Tokyo 107-6245 Japan
FAX: +81-3-4496-4347
http://www.takeshifinance.com - Talbot and Reese, Inc
- Shinjuku Monolith, 16th Floor, 2-3-1 Nishi Shinjuku, Shinjuku-Ku, Tokyo 163-0916 Japan
TEL: +81-3-4580-2055 / FAX: +81-3-4496-5096
http://www.talbotreese.com - Tanaka Securities
- 1-40-4 Kamiosaki, Minato-Ku, Tokyo 105-0011 Japan
http://www.tanasecure.com - Tech-Link International Limited
Teikoku Commodities - Shin-Marunouchi Bidg, 1-5-1 Marunouchi, Chiyoda-ku, Tokyo 100-6590
TEL: +81-3-4520-9237
http://www.teikokucommodities.com - The Stockton Group
- 502 Ohashi-Building, 1-16, Kanda-Sakumacho, Chiyoda-ku, Tokyo 101-0025 Japan
TEL: +81-3-4496-5110 / FAX: +81-3-4496-5111 , +81-3-4496-5112 - Thomas Castle Management
- 8th Floor, Kasumigaseki Building, 3-2-5 Kasumigaseki, Chiyoda-Ku, Tokyo 100-6010 Japan
TEL: +81-3-4580-1758 / FAX: +81-3-4496-4046
http://www.thomas-castle.com - Thomas Moore
- Fukoku Seimei Bldg, 2-2-2, Uchisaiwai-cho, Chiyoda-ku, Tokyo 100-0011 Japan
TEL: +81-3-4520-9682 / FAX: +81-3-4496-6466
http://www.thomasmoore.biz - Trinity Ventures
- 502 Hillsidekagurazaka, 3-6-10 Kagurazaka, Shinjuku-Ku, Tokyo 162-0825 Japan
TEL: +813-4496-5041 / FAX: +813-4496-5042
http://www.trinity-ventures.com - Vantage Pro Asset Management
- Level 7, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-6202-2913 / FAX: +81-3-6202-2912
http://www.vantagepro.jp - Venture Associates
- 34 F Yamashiku Building, 5-9-4 Otemachi, Chiyoda, Tokyo, Japan 100-0006
TEL: + 813-4578-9500 / FAX: + 813-4496-4360
http://www.ventureassoc.com - Waldon McLean Associates
- Toranomon Yatsuka Building, 1-1-11 Atago, Minato-Ku, Tokyo 105-0002 Japan
TEL: +81-3-4580-1656 / FAX: +81-3-4580-1721
http://www.waldonmclean.com - Warren and Baker
- TEL: +81-3-5219-1531
- Webb Capital Partners
- Atago Green Hills MORI Tower 37F, 2-5-1 Atago Minato-ku, Tokyo 150-6237 Japan
TEL: +81-3-4520-8985 / FAX: +81-3-4496-4825 - Western Pacific Advisor, Inc
- Tokyo Otemachi 1st Square 4/F East Tower, 1-5-1, Otemachi, Chiyoda-ku, Tokyo 100-004 Japan
TEL: 81-3-4520-9775 / FAX: 81-3-4520-9776
http://www.westpacificadvisors.com - Westernfield Holding
- Shinjuku Park Tower S 20/F, 3-7-1, Nishi-Shinjuku, Shinjuku-ku, Tokyo 163-1035 Japan
TEL: +81-3-4520-9532 / FAX: +81-3-4496-6474
http://www.western-field.com - Wilshire-Park
- Sumitomo Fudosan Mita Twin Building, West Wing, 6F, Mita 3-chome, Minato-ku, Tokyo,
TEL: +81-3-4578-9381 / FAX: +81-3-4578-9382
http://www.wilshire-park.com - Yamaguchi Partners Global Head Office
- 16F Seiroka Tower 8-1, Akashi-cho, Chuo-ku, 104-6591 Tokyo, Japan,
Tel: +81-3-6369-3995 / FAX: +81-3-6369-3997
http://www.yamaguchipartners.com - Yamato & Associates
- koraku Mori Bldg 9F, 1-4-14, Koraku, Bunkyo-Ku, Tokyo 112-004 Japan
http://www.yamatoandassociates.com - Yoshida, Wells & Associates
- 29-8, Hamamatsu-cho 1-chome, Minato-ku, Tokyo 105-0013
TEL: +81-3-4496-4430
http://yoshidawells.com - Yutaka Commodities,Inc
- Higashishinbashi 1-chome Minato-ku Tokyo 105-0021
TEL: +81-3-4520-9234 / FAX: +81-3-4496-4685
http://www.yutakacommodities.com/
Non-authorized regulators and securities/financial exchanges
- Asian Carbon Trade Exchange
- Level 9, Edobori Center Building, 2-1-1, Edobori, Nishi-Ku, Osaka 550-0002 Japan
TEL: +81-6-6225-1319
http://www.asiancarbontrade.com - Central Exchange Bureau
- Level 16, Yebisu Garden Place Tower, 4-8-3 Ebisu, Shibuya-ku, Tokyo 150-6018 Japan
TEL: +81-3-4580-1629
http://cexb.org - Central Registration Department
- HSBC Building 11-1, Nihonbashi3-choume, Chuo-ku, Tokyo 103-0027
- Commodities Futures Trade Board
- http://www.cftb.jp
- Cross Border Acquisition Commission
- Level 22, Tokyo Sankei Building, 1-7-2 Otemachi, Chiyoda-Ku, Tokyo 100-0004 Japan
TEL: +81-3-4578-9579
http://www.cba-commission.org - Eastern Equity Division
- Level 9, Ariake Frontier Bldg. Tower B, 3-1-25 Ariake, Koto-ku Tokyo 135-0063 Japan
TEL: +81-3-4520-9242 / FAX: +81-3-6385-7636
http://www.easterned.org - Equity Management Bureau
- Intercity Tower A, Level 18, Shinagawa, 2-15-1 Konan, Minato-Ku, Tokyo 108-6028 Japan
TEL: +81-3-4520-9427 / FAX: +81-3-6385-7542
http://www.eqmb.org - Equity Trading International Commission (ETIC)
- 35F, Sunshine 50, 2-1-1, Higashi Ikebukuro, Toshima-ku, Tokyo 170-6045 Japan
TEL: +81-3-4578-9022
http://www.etic.org
http://www.eqtic.org - Financial Exchange Authority
- Level16, Aoyama Palacio Tower, 3-6-7 Kita-Aoyama, Minato-ku, Tokyo 107-0061
TEL: +81-3-4550-0684 / FAX: +81-3-6730-9726
http://www.financialxa.org - Financial Trading Commission
- Level 20, 1-3-3 Kaigan, Tokyo 105-0022 Japan
TEL: +81-3-4588-8710
http://www.fintco.org - International Acquisition Authority
- Level 4, Wakamatsu Building, 3-3-6 Nihonbashi-Honcho, Chuo-Ku, Tokyo 103-0023 Japan
TEL: +81-3-4578-9693
http://interaa.org - International Association of Securites Varification
- 4-9-7 Roppongi Minato-ku Tokyo,106-0032
TEL: +81-3-4588-8764 / FAX: +81-3-4580-7166 - International Equities Administrators
- 2-12-4 Toranomon, Minato-ku Tokyo,105-0001
TEL: +81-3-4550-0335 / FAX: +81-3-4496-4455 - International Equity Authority
- 14 Flr Shinjuku Maynds Tower, 2-1-1 Yoyogi, Shibuya Ward, Tokyo 100-0004
- International Equity Regulation Department
- 12/F, Tokyo Bankers Club Building, 1-2-1, Marunouchi, Chiyoda-ku, Tokyo 100-0005 Japan
http://interd.org - International Exchange Regulatory Agency
- Yokohama Business Park 134 Godo-Cho, Kanagawa, Tokyo, Japan
TEL: +81-3-4520-9560 / FAX:+81-3-6385-7549
http://www.intexra.org - International Mergers & Aquisitions Administration
- 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-9514 - International Mergers & Acquisitions Authority
-
1) 17th Flr., Fujino Bldg. 15-18 Nihonbashi Kodenma-cho, Chuo-ku Tokyo, 103-0001, Japan
TEL: +81 3 4578-0375 / FAX: +81 3 6745-95142) 22-11, Hokima 1-chome, Adachi-ku, Tokyo,121-0064
TEL; +81 3 4578-0625 / FAX: +81-3-6745-8657 - Intercontinental Mergers & Acquisitions Agency
- 9th Flr. Yamaguchi Bldg. 8-17, Iwamoto-cho 1-chome Chiyoda-ku Tokyo 101-0032, Japan
http://www.interconma.org/ - International Securities Commission
- Siodome Sumitomo Building 14th Floor 1-9-2 Higashi-Shimbashi Minato-ku Tokyo 105-0021
TEL: +81-3-4590-3164 / FAX: +81-3-4496-6333
http://www.intersc.org - International Stock Regulators Board
- Marunouchi Bidg. 23G, 3-2-4 Marunouchi, Chiyoda-ku, Tokyo 100-6323
TEL: +81-3-4550-0331
http://www.intsrb.org - International Trade Advisory Committee
- Ginza Fugetsudo Building, 104-0061 Tokyo, Japan
FAX: +81-3-6385-7514
http://intl-tradeac.com - International Trading Bureau
- Izumi Garden Tower 18th Floor 1-6-1 Roppongi, Minato-ku, Tokyo 106-6018
TEL: +81-3-4588-8763 - Japan Futures Trading Board
- http://www.jftb.org/eng
- KMEX Kyoto Merchantile Exchange
- 67 Kusakawa-cho, Nanzenji, Sakyo-Ku, Kyoto 606-8437, Kyoto Prefecture, Japan
- Mergers and Acquisitions Financial Administration
- 11th Floor Hanwha Bldg, 10-1 Shiba 4-chome, Minato-ku, Tokyo, 108-0014
Tel: +008-134-578-0376 Fax: +008-136-745-4952
regulation@mafinad.org - Mergers & Acquisitions Regulatory Commission (MAREGCOM)
- Level 14, Hibiya Central Building, 1-2-9 Nishi Shimbashi, Minato-Ku, Tokyo 105-0003
TEL: +81-3-4580-2174
http://www.maregcom.org - Mergers & Acquisitions Supervison & Administration Commission(MASAC)
- 15th Flr., Fujino Building 11-8, Nihonbashi Kodenma-cho Chuo-ku, Tokyo 103-0001
TEL: +81-3-4579-00370 / FAX: +81-3-6745-2891
http://www.masac.org/ - Nikkei Securities Exchange Group
- 15th Fl. Tokyo Exchange Bldg Nihonbashi Kabutocho, Chuo-ku, Tokyo, Japan
TEL: +81-3-9588-5988 / FAX: +81-3-9588-2989
http://www.nikkei-securities.jp - Osaka Futures and Options Exchange
- Hankyu Grand Building, 8-47, Kakuta-cho, Kita-Ku, Osaka 530-0017
http://www.ofox.jp - The Financial Services Regulatory Authority
- http://fsra.jp
- The Tokyo Futures and Options Exchange
- 166-0002 Koenji-Kita, Suginami-Ku, Tokyo 166-0002
http://www.tfox.jp - Tokyo Board Options Exchange
- 14-3 Nagato Cho 2-Chome, Chiyoda-Ku, Tokyo Japan 100-0014
http://www.tboex.com - Tokyo Commodities Futures Exchange
- 3-43-13 Koenji-Kita, Suginami-Ku, Tokyo, Japan
http://www.tcfx.jp - Tokyo Commodities Trading Authority
- Dai-ichi Tekko Building, Chiyoda-ku, Tokyo 100-0005 Japan
http://hkhoster.com/tocomta.org/jp/ - Tokyo Futures Trading Board
- Level 16 & 27, Shiroyama Trust Tower 4-3-1 Toranomon, Minato-ku, Tokyo 105-6016 (Level 16) 105-6027 (Level 27) Japan
http://www.toftb.com - Tokyo World Future Exchange
- http://www.twfex.com
- World Securities Authority
- Level7, Nittochi Nishi-Shinjuku Building, 6-10-1 Nishi-Shinjuku, Shinjuku-ku, Tokyo
TEL: +81-3-4550-0685 / FAX: +81-3-6730-9627
Investors Alert by the IOSCO
- In February, 2002, the International Organization of Securities Commissions (IOSCO) released a statement of “Investors Alert on cold calling,” of which points are as follows:
- Generally speaking, an entity is required to have some form of authorization by the regulators in the country where the investors that it would solicit reside, in order to conduct financial/securities business. There is a possibility that cold callers do not have such authorization and they are involved in illegal activities by which investors lose their money.
- Therefore, investors should not make an investment solely on the basis of “cold calls.” Before making an investment decision and paying money, investors should, at the very least, check whether the entities are given registration and/or authorization as securities dealers, investment advisers, etc., by the regulators in the jurisdictions where the investors reside and the entities claim to operate. Investors also should make serious inquiries into the legitimacy of the entity if the entity promises spectacular returns or “guaranteed” profits.
- The IOSCO Asian Pacific Regional Committee (APRC) also announced a press release in February, 2002. The APRC members, including the FSA, expressed their intension to enhance cooperation, mutual assistance and information-sharing to detect illegal activities, as well as to publicize the names of unlicensed/unregistered entities, in order to prevent investors from becoming victims by fraudulent activities.