JJ Bauer Asset Management/ JJ Bauer Equity Research (Clone of EEA Authorised Firm)
Warning from the Financial Conduct Authority (FCA) and the Commission de Surveillance du Secteur Financier (CSSF)
The Commission de Surveillance du Secteur Financier (CSSF) warns the public of the activities of an entity named JJ Bauer Asset Management (website: https://www.jj-bauer.com) which claims to be located at 46a avenue John F. Kennedy, L-1885 Luxembourg.
The CSSF informs the public that the entity named JJ Bauer Asset Management is unknown to it and that the entity has not been granted the required authorisation to provide investment or other financial services in or from Luxembourg.
In this context, the CSSF also draws the attention of the public to the publication by the Austrian supervisory authority Finanzmarktaufsicht (FMA), of a warning concerning the activities of an entity named JJ Bauer (website: https://www.fma.gv.at/en/consumers/investor-warnings/national-investorwarnings/detail-natwm/article/wwwjj-bauercom.html).
Luxembourg, 15 January 2016
The Financial Conduct Authority (“FCA”) of the United Kingdom would like to alert all recipients that:
Boiler Room Name: JJ BAUER ASSET MANAGEMENT (Clone of EEA Authorised Firm)
May also use name: JJ BAUER EQUITY RESEARCH
Addresses: 46a Avenue John F Kennedy, L - 1855 Luxembourg
Neuriedgasse 4, Eisenstadt, A-7000, Austria (clone of authorised firm’s address)
19 & 22/F Shibuya Mark City, 1-12-1 Dogenzaka, Shibuya-Ku, Japan
28 West 44th Street, New York 10036, USA
Telephone: 0035220202103; 0035227860512; 004372088046; 0081345209499;
Fax: 0035224610550; 0043268220563004
is NOT authorised under the Financial Services and Markets Act 2000 (“FSMA”) to carry on a regulated activity in the United Kingdom. Regulated activities include, amongst other things, advising on investments and dealing and arranging deals in investments ("investments" include stocks and shares).
The FCA believes that this organisation may be targeting UK customers. Therefore, we have added this firm to our list of unauthorised firms and individuals list. This list can be found at: http://www.fca.org.uk/consumers/protect-yourself/unauthorised-firms/unauthorised-firms-to-avoid
This entity is cloning the name and address of an EEA authorised firm. The following EEA authorised firm has no association whatsoever with the organisation discussed above identifying itself as JJ Bauer Asset Management:
Firm name: Josef Johann Bauer
Firm reference number: 446164
Address: Neuriedgasse 4, Eisenstadt, A-7000, Austria
If you have any further questions on this matter please email our Consumer Contact Centre at firstname.lastname@example.org, or alternatively by telephone on 0800 111 6768. Overseas callers can contact us on (+44) 20 7066 1000.14 December 2015