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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 26 out of 29
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/02/2007
  • LORNE TRUST ASSET MANAGEMENT
A warning PDF of date 14/02/2007 (new window) FSC (ISLA DE MAN) 
13/12/2006
  • LLOYD BROWN INVESTMENTS, INC.
A warning PDF of date 13/12/2006 (new window) SFSA (SUECIA) 
13/12/2006
  • LORNE TRUST ASSET MANAGEMENT
A warning PDF of date 13/12/2006 (new window) FSC (ISLA DE MAN) 
25/10/2006
  • LOMAX & PARTNER SEVICES LIMITED (SIC)
A warning PDF of date 25/10/2006 (new window) FSC (ISLA DE MAN) 
25/10/2006
  • LOMAX & PARTNER SERVICES LIMITED
A warning PDF of date 25/10/2006 (new window) FSC (ISLA DE MAN) 
25/10/2006
  • LARRY BODRICKS
A warning PDF of date 25/10/2006 (new window) FSC (ISLA DE MAN) 
15/11/2006
  • LEONARD BERNEY AND IPM INVESTMENT PROGRAM MANAGEMENT
A warning PDF of date 15/11/2006 (new window) SFC (HONG KONG) 
11/10/2006
  • LOMBARD SMITH & CO
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
11/10/2006
  • LIBERTY ASSET MANAGEMENT
A warning PDF of date 11/10/2006 (new window) SFSA (SUECIA) 
11/10/2006
  • LGT LIEBRECHT HIB
A warning PDF of date 11/10/2006 (new window) FSC (ISLA DE MAN) 

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