The Financial Supervision Authority

Year 2002Regulated by Government

The Financial Supervision Authority, which was launched on 1 January 2002, joined the functions of Eesti Pank's Banking Supervision Authority and the Ministry of Finance's Insurance Supervision Authority and Securities Inspectorate. It is a financial supervision and crisis resolution authority with autonomous responsibilities and budget that works on behalf of the state of Estonia and is independent in its decision-making.

Disclose broker
Danger Unauthorized
Disclosure summary
  • Disclosure matching Website matching
  • Disclosure time 2022-03-30
  • Reason for punishment AGARTHA ASSET MANAGEMENT is not authorised to provide the investment services.
Disclosure details

Investor alerts - AGARTHA ASSET MANAGEMENT

AGARTHA ASSET MANAGEMENT (https://agarthaassetmanagement.com/) 30/03/2022 Spain CNMV ISSUES WARNING TO THE PUBLIC ON UNREGISTERED FIRM Pursuant to the second paragraph of Article 17 of the Securities Markets Law (recast text approved by Royal Legislative Decree 4/2015, of 23 October), the Comisión Nacional del Mercado de Valores (National Securities Market Commission) warns that: AGARTHA ASSET MANAGEMENT is not authorised to provide the investment services set out in Article 140 of the Spanish Securities Marketsb Act, which include investment advice, or to provide the ancillary services detailed in Article 141(a), (b), (d), (f) and (g) of said Act in relation to the financial instruments indicated in Article 2 of said Act, including, for such purposes, foreign currency transactions. In addition, it is not authorised to carry on activities reserved for collective investment schemes detailed in Article 1(1) of Spanish Law 35/2003, of 4 November, on Collective Investment Schemes. For any enquiries, please contact the Comisión Nacional del Mercado de Valores enquiry line on 900 535 015 or visit CNMV’s website (www.cnmv.es). 28 March 2022
Annex