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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 4 out of 16
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
16/08/2006
  • NEW WORLD FINANCIAL EUROPE, S.L.
A warning PDF of date 16/08/2006 (new window) NAFM (PAISES BAJOS (HOLANDA))VER ADVERTENCIAS CNMV
23/08/2006
  • NEW WORLD FINANCIAL EUROPE, S.L.
A warning PDF of date 23/08/2006 (new window) FSC (ISLA DE MAN)VER ADVERTENCIAS CNMV
20/09/2006
  • NEW WORLD FINANCIAL
A warning PDF of date 20/09/2006 (new window) FMA (AUSTRIA)VER ADVERTENCIAS CNMV
08/11/2006
  • NELSON FINANCIAL GROUP
A warning PDF of date 08/11/2006 (new window) SFSA (SUECIA) 
08/11/2006
  • NORBERT ASSOCIATES
A warning PDF of date 08/11/2006 (new window) NAFM (PAISES BAJOS (HOLANDA)) 
22/11/2006
  • NEWMAN BELL MERGERS & ACQUISITIONS
A warning PDF of date 22/11/2006 (new window) SFC (HONG KONG) 
13/12/2006
  • NATIONWIDE BANK
A warning PDF of date 13/12/2006 (new window) JFSC (JERSEY) 
20/12/2006
  • NOVANTAE CAPITAL HOLDINGS
A warning PDF of date 20/12/2006 (new window) FMA (AUSTRIA) 
17/01/2007
  • NEWMAN BELL MERGERS & ACQUISITIONS
A warning PDF of date 17/01/2007 (new window) SFC (HONG KONG) 
28/03/2007
  • NEW YORK PETROLEUM OPTION EXCHANGE (NYPOE)
A warning PDF of date 28/03/2007 (new window) CFTC (ESTADOS UNIDOS) 

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