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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 6 out of 14
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
09/04/2014
  • KINGSTON FINANCIAL GROUP
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO) 
12/03/2014
  • KNOX SECURITIES CORP
A warning PDF of date 12/03/2014 (new window) FCA (REINO UNIDO) 
12/02/2014
  • KYLE ROBERT CAWLEY
A warning PDF of date 12/02/2014 (new window) EI_CBI (IRLANDA) 
08/01/2014
  • KANAGAWA ASSOCIATES
A warning PDF of date 08/01/2014 (new window) SFSA (SUECIA) 
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.
06/11/2013
  • KOYAL GROUP
A warning PDF of date 06/11/2013 (new window) DFSA (DINAMARCA) 
23/10/2013
  • KENDALL MORGAN PARTNERS
A warning PDF of date 23/10/2013 (new window) FSAN (NORUEGA) 
02/10/2013
  • KTI TRADING INC
A warning PDF of date 02/10/2013 (new window) HCMC (GRECIA) 
07/08/2013
  • KKR
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES PERTENECIENTES AL GRUPO KOHLBERG KRAVIS ROBERTS
10/07/2013
  • KOYAL GROUP
A warning PDF of date 10/07/2013 (new window) FSAN (NORUEGA) 

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