LEGG MASON GLOBAL ASSET MANAGEMENT
Flagged by Financial Services Agency · Japan (JPN)
Official Warnings (1)
1. Location of office or Address
Unknown
2. Content, etc. of Financial Instruments Business
Indication on their website that they are engaged in the financial instruments business without the statutory registration in Japan.
3. Notes
They misrepresent themselves as a registered operator using the indication of “金融商品取引業者（第二種金融商品取引業及び投資助言・代理業）and加入協会：一般社団法人第二種金融商品取引業協会及び一般社団法人日本投資顧問業協会”, which means “Financial Instruments Business Operators (Type II Financial Instruments Business and Investment Advisory and Agency Business), and Affiliated Associations: Type II Financial Instruments Firms Association and Japan Investment Advisers Association”.
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Other Flagged Firms (JPN)
This information is sourced from IOSCO I-SCAN and official financial regulators. Inclusion in this database does not necessarily mean the firm has committed fraud - it may indicate they are not authorized to operate in a specific jurisdiction. Always verify directly with the relevant regulator before making investment decisions.