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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 1 out of 13
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
11/09/2002
  • KLINE MANAGEMENT GROUP
A warning PDF of date 11/09/2002 (new window) EI_CBI (IRLANDA) 
27/09/2002
  • KLINE MANAGEMENT GROUP
A warning PDF of date 27/09/2002 (new window) CBF (BELGICA) 
12/05/2003
  • K P ALLEN
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO) 
12/05/2003
  • KLINE MANAGEMENT GROUP
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO) 
07/10/2003
  • KENNEDY INVESTMENTS, LTD.
A warning PDF of date 07/10/2003 (new window) CBF (BELGICA) 
15/12/2004
  • KAPITAL ALLIANCE
A warning PDF of date 15/12/2004 (new window) FSC (ISLA DE MAN) 
16/02/2005
  • KS ASSET MANAGEMENT AG
A warning PDF of date 16/02/2005 (new window) SSMA (ESLOVENIA) 
16/02/2005
  • KS ASSET MANAGEMENT SCHWEIZ AG
A warning PDF of date 16/02/2005 (new window) SSMA (ESLOVENIA) 
11/05/2005
  • KENSINGTON PRICE CONSULTING
A warning PDF of date 11/05/2005 (new window) FSA (REINO UNIDO) 
08/02/2006
  • KIRKLAND GROUP ASSOCIATES
A warning PDF of date 08/02/2006 (new window) SFSA (SUECIA) 

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