Search

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 4 out of 17
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
05/08/2015
  • NORVELL ASSOCIATES
A warning PDF of date 05/08/2015 (new window) DFSA (DINAMARCA) 
07/03/2018
  • NORTHRIDGE FINANCIAL PARTNERS
A warning PDF of date 07/03/2018 (new window) SFSA (SUECIA) 
22/02/2006
  • NORTHLINK FINANCE AND SECURITY GROUP
A warning PDF of date 22/02/2006 (new window) FSC (ISLA DE MAN) 
17/11/2010
  • NORTHERN PEGASUS LLC.
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 
09/10/2013
  • NORTHERN CAPITAL CONSULTANTS
A warning PDF of date 09/10/2013 (new window) FCA (REINO UNIDO) 
14/03/2012
  • NORTHERN CAPITAL
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDAD DEBIDAMENTE AUTORIZADA Y REGISTRADA NORTHERN CAPITAL DENAMARK S/A NI CON LA ENTIDAD BRITÁNICA NORTHERN CAPITAL DENMARK LTD.
26/05/2010
  • NORTHCOTT STERLING XAVIER ASSOCIATES
A warning PDF of date 26/05/2010 (new window) SFC (HONG KONG) 
14/01/2009
  • NORTH POINT M & A ADVISORS LLC
A warning PDF of date 14/01/2009 (new window) FSA (REINO UNIDO) 
15/04/2009
  • NORTH POINT CAPITAL
A warning PDF of date 15/04/2009 (new window) SFC (HONG KONG) 
11/11/2015
  • NORIKURA GLOBAL
A warning PDF of date 11/11/2015 (new window) SFSA (SUECIA) 

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