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Alpha Broking Ltd.

07 apr 2015 Waarschuwing van een buitenlandse toezichthouder

The Bulgarian Financial Supervision Commission (FSC) warns the public that company ALPHA BROKING LTD is not licensed by the FSC and hence is not eligible to provide investment services and activities under the Markets in Financial Instruments Act as well as under the Law on the Activities of Collective Investment Schemes and Other collective Investment Undertakings on the territory of the Republic of Bulgaria, including through electronic platforms for trading with financial instruments.

The name of the company ALPHA BROKING LTD (in Bulgarian „Алфа Брокинг” ЕООД) resembles the name of the brokerage firm Alpha Broking, licensed investment firm by the Australian Securities and Investments Commission. The potential investors should bear in mind that ALPHA BROKING LTD is NOT the same company as ALPHA BROKING.

It is also important to be noted that the headquarter address and the management address of ALPHA BROKING LTD is identical with the address of the firm GLOBAL MARKETS LTD. (current name INTERACTIVE COMPANY LTD.) The license of GLOBAL MARKETS LTD. for conducting activity as an investment firm has been compulsorily revoked by the FSC with Decision № 651 – II, dated July 14th, 2014 on the grounds of committed by GLOBAL MARKETS LTD. and its employees systematic violations of the Markets and Financial Instruments Act and its implementing acts. The FSC’s decision for the license revocation was confirmed by the Supreme Administrative Court.

We would like to inform the potential investors that investment services and activities can be provided only from licensed by FSC companies to perform activity as an investment firm or a management company, as well as banks licensed by the Bulgarian National Bank and registered in the FSC registry as an investment firm. Investment firm or management company with a headquarter in a Member State which has received a license to provide investment services and activities in accordance with EU legislation by the competent authority in the relevant Member State may carry out the activity for which the license has been issued on the territory of Republic of Bulgaria through a branch or under the freedom to provide services. Additional services may only be provided together with an investment service and/or activity.

In regard to the above mentioned, the investors should have in mind that:

Firstly the investors must check whether the respective company is licensed by the FSC and is it authorized, in accordance to the issued license, to provide investment services and activities to the clients.

Investors and potential investors should be aware that they could be deceived and could suffer significant financial losses when concluding contracts and submitting orders with companies that are not licensed by the FSC or by the competent authority of another Member State, including providing of funds for concluding of transactions with financial instruments.

List of investment firms and management companies licensed by the FSC could be found on the FSC's website at: http://www.fsc.bg/en/supervised-entities/lists/ 1000 Sofia, 16, Budapeshta Str., tel: + 359 2 9404 999, fax: + 359 2 8294 324, e‐mail: bg_fsc@fsc.bg, www.fsc.bg

The financial assets and funds provided by the investors to companies without a license are not guaranteed by the Investor Compensation Fund. 

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