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As a member of the European Securities and Markets Authority (ESMA) and of the International Organization of Securities Commissions (IOSCO), the CNMV regularly receives alerts issued by foreign securities regulators on companies that are not authorised to provide investment services in the countries listed in the alerts.

This page lists alerts shared with the CNMV directly by other countries' supervisory bodies or transmitted centrally through the ESMA. However, we are unable to list on this page alerts transmitted by supervisory bodies to IOSCO. We therefore recommend that you also check out the following webpage: Investor Alerts Portal

The CNMV warns that the information on this page has been provided by foreign supervisory bodies, which assume responsibility for the contents of such information.

Search for warnings on companies whose names start with

Click the heading of the "Date" column or of the "Targeted companies" column to sort results in ascending/descending order.

Page 6 out of 36
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
24/09/2014
  • GENKAI SECURITIES
A warning PDF of date 24/09/2014 (new window) DFSA (DINAMARCA) 
13/09/2017
  • GENWORTH CONSULTANT GROUP
A warning PDF of date 13/09/2017 (new window) FCA (REINO UNIDO) 
06/09/2017
  • GENWORTH CONSULTANT GROUP (USA)
A warning PDF of date 06/09/2017 (new window) CBI (IRLANDA) 
19/01/2011
  • GEOFFROY CATHERINE
A warning PDF of date 19/01/2011 (new window) CBFA (BELGICA) 
19/05/2010
  • GEORGE EDWARD LOCKHART
A warning PDF of date 19/05/2010 (new window) JFSC (JERSEY) 
25/05/2016
  • GERARD & ALTERMAN (CLON)
A warning PDF of date 25/05/2016 (new window) FSMA (BELGICA)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DEL MISMO NOMBRE
27/04/2016
  • GERARD & ALTERMAN / GERARD AND ALTERMAN (CLON)
A warning PDF of date 27/04/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DE SIMILAR DENOMINACIÓN
03/10/2018
  • GERBER AND PARTNERS
A warning PDF of date 03/10/2018 (new window) FMA (AUSTRIA) 
17/10/2018
  • GERBER AND PARTNERS
A warning PDF of date 17/10/2018 (new window) FCA (REINO UNIDO) 
21/08/2019
  • GERHARD MOSER INVESTMENT CAPITAL HOLDINGS (CLON)
A warning PDF of date 21/08/2019 (new window) FCA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities, By initial G.