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 9 out of 23
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
11/12/2013
  • KSI / KARAMANOF
A warning PDF of date 11/12/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA KARAMANOF SECURITIES & INVESTMENT SERVICES, S.A.
08/01/2014
  • KANAGAWA ASSOCIATES
A warning PDF of date 08/01/2014 (new window) SFSA (SUECIA) 
12/02/2014
  • KYLE ROBERT CAWLEY
A warning PDF of date 12/02/2014 (new window) EI_CBI (IRLANDA) 
12/03/2014
  • KNOX SECURITIES CORP
A warning PDF of date 12/03/2014 (new window) FCA (REINO UNIDO) 
09/04/2014
  • KINGSTON FINANCIAL GROUP
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO) 
02/07/2014
  • KNIGHTSBRIDGE MANAGEMENT INTERNATIONAL ASSET MANAGEMENT CLON
A warning PDF of date 02/07/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA KNIGHTSBRIDGE MANAGEMENT INTERNATIONAL SRO
03/09/2014
  • KEE GLOBAL CORP
A warning PDF of date 03/09/2014 (new window) FCA (REINO UNIDO) 
01/10/2014
  • KENT HUGHES & CO.
A warning PDF of date 01/10/2014 (new window) DFSA (DINAMARCA) 
08/10/2014
  • KIYOSE MERGERS
A warning PDF of date 08/10/2014 (new window) FCA (REINO UNIDO) 
12/11/2014
  • KINGSLEY ASSET MANAGEMENT (CLON)
A warning PDF of date 12/11/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA KINGSLEY ASSET MANAGEMENT (GLOBAL) LLP

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