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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 1 out of 17
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
11/09/2013
  • NZ FINANCIAL CAPITAL LIMITED
A warning PDF of date 11/09/2013 (new window) CSSF (LUXEMBURGO) 
19/05/2010
  • NUR CAHAYA ILHAM CONSULTANT
A warning PDF of date 19/05/2010 (new window) LABUAN_FSA (MALASIA) 
13/02/2019
  • NTMT TRANSFORMATIC MARKETS OU (KONTOFX)
A warning PDF of date 13/02/2019 (new window) FMA (AUSTRIA) 
06/06/2018
  • NTB DIRECT
A warning PDF of date 06/06/2018 (new window) FMA (AUSTRIA) 
07/10/2009
  • NSCB LUXEMBOURG S.A.
A warning PDF of date 07/10/2009 (new window) CSSF (LUXEMBURGO) 
23/10/2013
  • NRG CAPITAL (CY) LTD
A warning PDF of date 23/10/2013 (new window) CYSEC (CHIPRE) 
18/12/2019
  • NP INVEST
A warning PDF of date 18/12/2019 (new window) CSSF (LUXEMBURGO)LA WEB NO GUARDA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA, NP INVEST S.À R.L..
29/06/2016
  • NOVUS CAPITAL MANAGEMENT (CLON)
A warning PDF of date 29/06/2016 (new window) FCA (REINO UNIDO) 
03/07/2013
  • NOVUM CAPITAL
A warning PDF of date 03/07/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA NOVUM CAPITAL LIMITED NI CON LA ENTIDAD ALEMANA NOVUM CAPITAL BERATUNGSGESELLSCHAFT MBH
15/01/2020
  • NOVUM BANK (CLON)
A warning PDF of date 15/01/2020 (new window) FCA (REINO UNIDO)NO GUARDA RELACIÓN CON NINGUNA ENTIDAD DEBIDAMENTE REGISTRADA CON SIMILAR DENOMINACIÓN NOVUM BANK LTD

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