Unauthorised firms reporting form

Doing business with the FSA
- Being regulated
  - Enforcing the Law
    - Warnings & alerts

Unauthorised overseas firms often target UK Consumers and offer to sell shares (or options or futures) to them or to buy shares from them.

If you have been contacted by an unauthorised overseas firm in this way, it would be of assistance to the FSA if you would provide some information on your dealings with that firm. Please note that once submitted, we will only contact you again if we require any further information from you.

If you have been contacted by more than one firm in this way, we would be grateful if you could complete a separate form for each organisation which has contacted you.


Section 1: Your details
1. Your name
2. Your address
3. Your daytime telephone number
4. Your age	18-34 35-44 45-54 55-64 65 and over
Section 2: Unauthorised firms details
5. Name of the firm
6. Address of the firm
7. Firms telephone number
8. Firms website address
9. How were you initially contacted	Telephone Letter Email Other (please specify)
9a. Name(s) of person(s) who contacted you
10. When were you first contacted
10a. When were you last contacted
Section 3: Details of the transaction
11. What was the firm offering to do?	Sell you shares Buy your shares Which company are the shares in?
12. If not shares which investments did they contact you about?	Futures options Currency options Commodities Other (please state)
13. Were you charged a commission or fee?	Yes No If so, how much and, if known, where was the payment sent?
14. Have you purchased shares from the firm?	Yes No
14a. If no, why not?
14b. If yes please provide the following:	Date of purchase No. of shares purchased In which company? Price paid for shares Total cost of investment
14c. In what currency was the money sent?	£ sterling Other (please state)
14d. Did you send the money by:	Wire Transfer Cheque
14e. If by wire transfer, it would be very helpful for us if you could please supply the details of the account the money was to be sent to, name of account holder, and date money was sent.
14f. If by cheque, it would be helpful if you could supply the following details; (Please note that we may contact you directly for further details of the cheque you sent such as your account number, sort code and cheque number. It would be helpful if you could keep your cheque stub safe in case we do get in touch)	Cheque made payable to: Amount Where did you send it? (Name and Address)
14g. Who is your bank account with?
15. Were you advised of any restrictions on the shares before purchasing?	Yes No
16. Were you told that the shares were listed or about to be listed on a stock exchange?	Yes No If yes, which exchange?
17. Have you received any documents from the company?	Yes No If yes, tick appropriate boxes. Contract note Share certificate Prospectus/other Confirmation letter/fax
18. Did the firm buy back shares from you?	Yes No
19. Have you been contacted by any other firms offering to buy/sell shares in this manner? If yes, we would be grateful if you could complete a separate form for each organisation which has contacted you.	Yes No