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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 15
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
22/03/2006
  • KIRKLAND GROUP ASSOCIATES
A warning PDF of date 22/03/2006 (new window) NAFM (PAISES BAJOS (HOLANDA)) 
26/04/2006
  • KAVANAUGH
A warning PDF of date 26/04/2006 (new window) FSA (REINO UNIDO) 
26/04/2006
  • KENT FINANCIAL ADVISORS INC
A warning PDF of date 26/04/2006 (new window) FSA (REINO UNIDO) 
19/07/2006
  • KAPITAL EQUITY UNLIMITED
A warning PDF of date 19/07/2006 (new window) FSC (ISLA DE MAN) 
19/07/2006
  • KAPITAL EQUITY UNLIMITED
A warning PDF of date 19/07/2006 (new window) JFSC (JERSEY) 
19/07/2006
  • KAPITAL EQUITY LIMITED
A warning PDF of date 19/07/2006 (new window) FSC (ISLA DE MAN) 
19/07/2006
  • KAPITAL BANK (ISLE OF MAN) LIMITED
A warning PDF of date 19/07/2006 (new window) FSC (ISLA DE MAN) 
11/10/2006
  • KLM LAW ASSOCIATES
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
13/12/2006
  • KLEIN INTERNATIONAL
A warning PDF of date 13/12/2006 (new window) JFSC (JERSEY) 
13/12/2006
  • KNIGHTSBRIDGE WEALTH MANAGEMENT AG
A warning PDF of date 13/12/2006 (new window) SFSA (SUECIA) 

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