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 28
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
15/02/2012
  • NOVA PORTFOLIO MANAGEMENT
A warning PDF of date 15/02/2012 (new window) FSA (REINO UNIDO) 
22/08/2012
  • NEWTON SMITH ASSOCIATES
A warning PDF of date 22/08/2012 (new window) FSA (REINO UNIDO) 
27/03/2013
  • NEW ENGLAND PRIVATE EQUITY, LLC
A warning PDF of date 27/03/2013 (new window) FSA (REINO UNIDO) 
04/01/2012
  • NEW YORK FINANCE COMPANY
A warning PDF of date 04/01/2012 (new window) FSA (REINO UNIDO) 
14/12/2011
  • NOVA PORTFOLIO MANAGEMENT
A warning PDF of date 14/12/2011 (new window) FSA (REINO UNIDO) 
25/01/2012
  • NEW DYNAMIC GROUP
A warning PDF of date 25/01/2012 (new window) FSA (REINO UNIDO) 
04/01/2012
  • NIPPON FINANCIAL PARTNERS
A warning PDF of date 04/01/2012 (new window) FSA (REINO UNIDO) 
26/10/2011
  • NKP FINANCIAL
A warning PDF of date 26/10/2011 (new window) FSA (REINO UNIDO) 
14/01/2009
  • NEW YORK FINANCIAL CORP
A warning PDF of date 14/01/2009 (new window) FSA (REINO UNIDO) 
31/08/2005
  • NOBLE INVESTMENTS AND SECURITIES SL
A warning PDF of date 31/08/2005 (new window) FSA (REINO UNIDO) 

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