Investor Alerts - LEGG MASON GLOBAL ASSET MANAGEMENT
| Company: | LEGG MASON GLOBAL ASSET MANAGEMENT |
|---|---|
| Regulator: | Financial Services Agency |
| Jurisdiction: | Japan |
| Date: | 24 May 2024 |
| Link: | https://www.fsa.go.jp/ordinary/chuui/mutouroku/04.html |
| Subject: | Regarding registration of issuance, offer or sale of securities/derivatives, and reporting requirements |
| Comments: | 1. Location of office or Address Unknown 2. Content, etc. of Financial Instruments Business Indication on their website that they are engaged in the financial instruments business without the statutory registration in Japan. 3. Notes They misrepresent themselves as a registered operator using the indication of “金融商品取引業者（第二種金融商品取引業及び投資助言・代理業）and加入協会：一般社団法人第二種金融商品取引業協会及び一般社団法人日本投資顧問業協会”, which means “Financial Instruments Business Operators (Type II Financial Instruments Business and Investment Advisory and Agency Business), and Affiliated Associations: Type II Financial Instruments Firms Association and Japan Investment Advisers Association”. |
