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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 5 out of 16
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
28/03/2007
  • NEW YORK OPTIONS EXCHANGE (NYOEX)
A warning PDF of date 28/03/2007 (new window) CFTC (ESTADOS UNIDOS) 
19/03/2008
  • NOMURA FINANCIAL GROUP
A warning PDF of date 19/03/2008 (new window) SFSA (SUECIA) 
30/04/2008
  • NAKAMISHI FINANCIAL INC
A warning PDF of date 30/04/2008 (new window) SFSA (SUECIA) 
14/01/2009
  • NORTH POINT M & A ADVISORS LLC
A warning PDF of date 14/01/2009 (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) 
21/01/2009
  • NOR FINANS
A warning PDF of date 21/01/2009 (new window) FSAN (NORUEGA) 
11/02/2009
  • NOBLE ADVISORY GROUP
A warning PDF of date 11/02/2009 (new window) SFSA (SUECIA) 
11/02/2009
  • NEWBURGH CAPITAL TRUST
A warning PDF of date 11/02/2009 (new window) SFSA (SUECIA) 
01/04/2009
  • NEXT FUTURES CO. LTD
A warning PDF of date 01/04/2009 (new window) SFC (HONG KONG) 
15/04/2009
  • NORTH POINT CAPITAL
A warning PDF of date 15/04/2009 (new window) SFC (HONG KONG) 

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