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 7 out of 28
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
07/07/2010
  • NEW CENTURY CAPITAL
A warning PDF of date 07/07/2010 (new window) IFSRA (IRLANDA) 
21/07/2010
  • NEWTON MOORE LIMITED
A warning PDF of date 21/07/2010 (new window) SFC (HONG KONG) 
17/11/2010
  • NORTHERN PEGASUS LLC.
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 
09/02/2011
  • NEW CENTURY CAPITAL
A warning PDF of date 09/02/2011 (new window) FMA (AUSTRIA) 
02/03/2011
  • NEW WATERFORD LTD
A warning PDF of date 02/03/2011 (new window) FSA (REINO UNIDO) 
13/04/2011
  • NC ADVISORY LTD
A warning PDF of date 13/04/2011 (new window) FSA (REINO UNIDO) 
20/04/2011
  • NEW OUTLOOK MANAGEMENT GROUP
A warning PDF of date 20/04/2011 (new window) SFSA (SUECIA) 
15/06/2011
  • NEW YORK GLOBAL GROUP, INC.
A warning PDF of date 15/06/2011 (new window) SFSA (SUECIA) 
03/08/2011
  • NAB SECURITIES, INC
A warning PDF of date 03/08/2011 (new window) FSAN (NORUEGA) 
31/08/2011
  • NAVASOTA GROUP
A warning PDF of date 31/08/2011 (new window) FMA (AUSTRIA) 

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