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Roche Capital Partners LP

12 mei 2016 Waarschuwing van een buitenlandse toezichthouder

Warning from the Securities and Exchange Commission, United States of America

Roche Capital Partners LP

60 State Street
Boston, MA 02109
Phone: 1-617-963-7294
Fax: 1-617-977-1671
www.rochecp.us

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The FMA warns investors against the conclusion of investment services requiring a licence with this provider:

The Austrian Financial Market Authority (FMA) may, pursuant to the first sentence of Article 92 para. 11 of the 2007 Securities Supervision Act (WAG 2007), 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 this person has given cause for such action and informing the general public is deemed necessary and reasonable in the light of possible disadvantages for the person concerned.

By publication in “Amtsblatt zur Wiener Zeitung” of 30 June 2015, the FMA therefore announces that:

Roche Capital Partners LP
with alleged business location in
60 State Street, Boston, MA 02109
Tel: +1 617 963 7294
Fax: +1 617 977 1671
Email: contact(at)rochecp.us
Web: www.rochecp.us

is not entitled to provide investment services in Austria that require a licence. The provider is therefore not permitted to engage in commercial portfolio management by managing portfolios for individual customers who authorise a certain degree of management discretion where the customer portfolio contains one or several financial instruments pursuant to Article 3 para. 2 no. 2 WAG 2007.

30-6-2015

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