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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 2 out of 145
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
06/02/2013
  • HAFKIN-ROTH AND SOUTH KOREA DERIVATES EXCHANGE, SKDEX
A warning PDF of date 06/02/2013 (new window) SFSA (SUECIA) 
28/11/2018
  • HAIG, LAFFERTY & PARTNERS
A warning PDF of date 28/11/2018 (new window) FCA (REINO UNIDO) 
26/09/2018
  • HAKOPA, WILLIAMS AND PARTNERS
A warning PDF of date 26/09/2018 (new window) FCA (REINO UNIDO) 
06/10/2004
  • HALIFAX INTL. BANK
A warning PDF of date 06/10/2004 (new window) FSC (ISLA DE MAN) 
06/10/2004
  • HALIFAX INTL. CORPORATE MANAGEMENT BANK
A warning PDF of date 06/10/2004 (new window) FSC (ISLA DE MAN) 
06/10/2004
  • HALIFAX INTL. FINANCIAL SERVICES GROUP
A warning PDF of date 06/10/2004 (new window) FSC (ISLA DE MAN) 
27/03/2013
  • HALLMARK FINANCIAL SOLUTIONS LTD
A warning PDF of date 27/03/2013 (new window) FSA (REINO UNIDO) 
22/08/2012
  • HAMILTON AND PRICEHOUSE CONSULTANCY
A warning PDF of date 22/08/2012 (new window) FSA (REINO UNIDO) 
12/05/2003
  • HAMILTON ASSET MANAGEMENT
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO) 
11/06/2014
  • HAMILTON CARTER INTERNATIONAL COMMODITIES
A warning PDF of date 11/06/2014 (new window) FCA (REINO UNIDO) 

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