NOTICE

SECURITY AND EXCHANGE COMMISSION (SEC) ADVISORIES ON ILLEGAL INVESTMENT-TAKING ACTIVITIES

The Security and Exchange Commission (SEC), through the Philippine Consulate General in Chongqing, wishes to inform all Filipinos on SEC Advisories on Illegal Investment Schemes circulating publicly and online.

The advisories pertain to both 1) registered entities (entities registered with the SEC but not authorized to solicit investment form the public since it has not secured the necessary secondary license or permit from SEC as required under Sections 8 and 12 of the Securities Regulation Code(SRC); 2) unregistered entities (entities neither registered as a corporation or as a partnership with the SEC nor issued secondary licenses as broker and/or dealer of securities and government securities, investment advisers of an investment company, investment house and transfer agent).

The SEC, through its website, www.sec.gov.ph, posted several advisories warning the public about illegal investment-taking activities to encourage the public to be more cautious when engaging in investment activities. A list of SEC Advisories on the illegal investment scheme for 2019 with the name of the companies is attached to this Notice.

Members of the Filipino communities are encouraged to be more cautious in accepting any offer of investment opportunities and should always be on the lookout for fraud. Should you have any information or concern about investment, or think you have encountered fraud, you may contact the Enforcement and Investor Protection Department of SEC at Tel Nos. (02) 818-6337 and 818-5324. END

04 July 2019