Alerts from foreign regulators. unauthorised entities
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 11 out of 22
Search for Public warnings issued by foreign Securities Regulators
| Date | Targeted companies | Document (English) | Regulator | Comments |
| 24/02/2021 |
|
| FMA (AUSTRIA) | |
| 24/02/2021 |
|
| FMA (AUSTRIA) | |
| 07/04/2021 |
-
KLDC TECHNICAL SYSTEMS (CAPWELT, TRADECENTER.FM)
|
| FMA (AUSTRIA) | |
| 04/05/2022 |
-
KL WINTERBOURNE ASSOCIATES
|
| FMA (AUSTRIA) | |
| 11/01/2023 |
-
KEYSTONE INTERNATIONAL MARKETS LIMITED
|
| FMA (AUSTRIA) | |
| 02/08/2023 |
|
| FMA (AUSTRIA) | |
| 02/08/2023 |
|
| FMA (AUSTRIA) | |
| 14/09/2022 |
-
KAPITAL & WERT ASSET MANAGEMENT GMBH
|
| FMA (AUSTRIA) | |
| 10/11/2022 |
|
| FMA (AUSTRIA) | |
| 30/11/2022 |
|
| FMA (AUSTRIA) | |
Consultation criteria: By type unauthorised entities, By initial K.