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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 16
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) 
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
17/04/2013
  • KARL JOHAN FONDS ASA
A warning PDF of date 17/04/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA ESTÁ UTILIZANDO LA DENOMINACIÓN Y DATOS DE CONTACTO DE UNA ENTIDAD QUE ESTUVO REGISTRADA EN SU MOMENTO PERO QUE ACTUALMENTE NO ESTÁ OPERATIVA
12/03/2014
  • KNOX SECURITIES CORP
A warning PDF of date 12/03/2014 (new window) FCA (REINO UNIDO) 
08/02/2017
  • KEYSTONE MANAGEMENT LTD / KEYSTONE CAPITAL
A warning PDF of date 08/02/2017 (new window) FCA (REINO UNIDO) 
07/12/2016
  • KOJIMA VENTURES
A warning PDF of date 07/12/2016 (new window) FCA (REINO UNIDO) 
19/10/2016
  • KNIGHT CAPITAL MARKETS
A warning PDF of date 19/10/2016 (new window) FCA (REINO UNIDO) 
16/01/2019
  • KBC SECURITIES (CLON)
A warning PDF of date 16/01/2019 (new window) FCA (REINO UNIDO) 
19/09/2018
  • KAINZ WERNER ANTON (CLON)
A warning PDF of date 19/09/2018 (new window) FCA (REINO UNIDO) 
16/08/2017
  • KLEINWORT BENSON (VENTURES) (CLON)
A warning PDF of date 16/08/2017 (new window) FCA (REINO UNIDO) 

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