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Some Local or Foreign Financial Advisors Claiming To Be Connected With, Or Acting For And On Behalf Of Foreign Corporations

Republic of the Philippines
Securities and Exchange Commission
SEC Bldg. EDSA, Greenhills, Mandaluyong City


The Securities and Exchange Commission has received information that the following securities/products are being offered, sold and/or distributed in the Philippines by some local or foreign financial advisors claiming to be connected with, or acting for and on behalf of foreign corporations, without the necessary license or permit from this Commission as required by law.
Based on the records at hand, the following securities/products are not registered with the Commission:

ALB Finance BV 9.375 300449 AO PERP
ALB Finance BV 9.375 300449 PERP
Autopistas Delsol 11.5230517MNREG
Banco Panamericano 11 1080716 JJ REG
Ban Hip 11.25 210610 JD REG LK ARS P
Ban Mac 10.75 070612 EXC L KARS P
Blue Ocean (CPP) 11 280612 JD REGS
BNP Capitaland/ Citedev 291208
BNP Allianz/ Axa /Prudential BN07809
China Glass Holdings 9.625 120712JJ
China Glass Holdings 9.625 120712JJ
CNC Group
Comtech CRR BV 10 190611J/D
En Japan Inc
First Investment Finance FIN
First Invest Fin 11.625 310349 PER
First Ukranian 9.75 160210 F/A
Fuji Television Network
Fullcast Co Ltd
G Steel PUBLIC CO 10.5 041010 A/O
HSBC (Merinos HALIS SVT) 11.75 080612
Ind Metalurgicas 11.25 221014A/O REG
Independencia 9.875 310117 J/J REGS
JBS SA (Friboi) 10.5 040816 F/A REG

Kabu.Com Securities
LB Mit Fud/Mit Est/ Sum Rea 210709
LB GE US31.5984/ Wal MT DACEL230209
Lupatech 9.875 310749 JAJO REG PERP
Mag Net Inc
Metro Financiera 11.25 160549 FMANREG
Metro Financiera 11.25 160549FMAN
MDM Bank OAA 9.75 210711 J/J
Mitsubishi UFJ Fin
Mizuho Fin Group
NOM (OCBC /UOB/DBS) CAS 270709 17P
NOM Sum Rea/ Miz Fl/ Sum MIT 060709
NOM Mat Elec/ Mit Est CAS 060109
ProfiloTelra 10.75 071211
PromsvyBank 10.75 210711 J/D
RABO Norn Holdg/Sum Rea ROCA 300409
Rede Empresas 11.125 020449 JAJO REG
Resona Holdings Inc
Russian Standard Bank 9.75 011216
Seven + Holdings Co
Sumitomo Mitsui Fin
TMK Capital (OAOTMK) 10 2090711 J/J
Termir Bank 9.5 210514 M/N REGS
XXI Century Investments 10 240510 MN
Yahoo Inc

The public is hereby advised to refrain from entering into any contract of sale, transfer, conveyance of the aforementioned securities/products because their sale, offer to sell and distribution are strictly prohibited by law. The Commission urges anyone who has knowledge or information about any business transaction involving these securities/products to report such activity immediately to the undersigned so that appropriate measures can be taken.

Complaints and Investigation Division
Enforcement and Prosecution Department
Securities and Exchange Commission
5F SEC Bldg., EDSA, Greenhills, Mandaluyong City
(632) 584-7652 or 5840923 loc 224

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