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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 13 out of 13
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
24/01/2007
  • KENNEDY & LANG LIMITED
A warning PDF of date 24/01/2007 (new window) SFSA (SUECIA) 
24/01/2007
  • KINGSLEYSTONE
A warning PDF of date 24/01/2007 (new window) SFSA (SUECIA) 
27/03/2013
  • KEDINGTON ADVISORY
A warning PDF of date 27/03/2013 (new window) SFSA (SUECIA) 
16/04/2008
  • KAGOSHIMA SECURITIES FINANCE
A warning PDF of date 16/04/2008 (new window) SFSA (SUECIA) 
16/02/2005
  • KS ASSET MANAGEMENT AG
A warning PDF of date 16/02/2005 (new window) SSMA (ESLOVENIA) 
31/10/2012
  • KARANTANIA INVESTMENTS LLC
A warning PDF of date 31/10/2012 (new window) SSMA (ESLOVENIA) 
16/02/2005
  • KS ASSET MANAGEMENT SCHWEIZ AG
A warning PDF of date 16/02/2005 (new window) SSMA (ESLOVENIA) 

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