Legal Notice

Securities Traded On POTC And Investment Risk

Securities traded on POTC include securities admitted to Quotation Board and are governed by the rules of their primary exchange as well as securities admitted to trading on the Entry and Main Boards. These securities are not subject to the regulatory requirements and need only meet the self-regulatory standards of the POTC which as Pacific OTC Inc. is an International Business Company currently registered in the Republic of Vanuatu. Pacific OTC Inc. is registered with and regulated by the Vanuatu Financial Services Commission and the Vanuatu Financial Intelligence Unit. Pacific OTC Inc. trades are executed by broker members and under their applicable licenses. Pacific OTC Inc. does not handle investor funds. Pacific OTC service are not available to US Persons and where prohibited by law.

Investors should be aware that a higher investment risk attaches to distressed, growth and smaller companies than to larger more established companies and that such companies may meet only the limited disclosure guidelines established by the POTC which is far less onerous than a regulated exchange.

Anti-Money Laundering

Pacific OTC does not tolerate money laundering and supports the international campaign against money launderers. Pacific OTC’s AML/CTF program has been produced in association with a leading consultancy firm to be fully compliant with, and strictly adhere to Vanuatu and global anti-money Laundering and Countering Financing of Terrorism Acts legislation.

Pacific OTC has strong policies in place to deter people from laundering money. A brief overview of these policies include, but are not limited to:

International anti-money Laundering requires financial services institutions to be aware of potential money laundering abuses that could occur and implement a compliance program to deter, detect and report potential suspicious activity to the appropriate authorities.

These guidelines have been successfully implemented to protect Pacific OTC and their clients.

For questions/comments regarding these guidelines, contact Pacific OTC at