Legal Notice

Listings On POTC And Investment Risk

Listings on POTC include companies admitted to Quotation Board which are governed by the rules of their primary exchange as well as companies admitted to listing on the Entry and Main Boards. These Entry and Main Board listings are not subject to the regulatory requirements of any exchange or MTF and need only meet the technical self-regulatory standards and rules 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. reports trades that are executed by broker members and under their applicable licenses. Pacific OTC Inc. does not handle investor funds or conduct trades with the public. Pacific OTC services are not available to US Persons and where prohibited by law. A listing on POTC does not constitute an endorsement by POTC but is simply an advertisement of a company or its broker.

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 most limited disclosure guidelines established by the POTC which is far less onerous than a regulated exchange. A POTC listing does not constitute a guarantee that the information provided is accurate but only that is has been certified by a company and its corporate advisor. Therefore consumers of this information should exercise due diligence and should not rely solely upon such information.

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 compliance@pacificotc.com