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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 16 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
28/04/2010
  • NEWTON INTERNATIONAL LIMITED
A warning PDF of date 28/04/2010 (new window) SFC (HONG KONG) 
28/04/2010
  • NEW TIMES CAPITAL (HK) LTD
A warning PDF of date 28/04/2010 (new window) SFC (HONG KONG) 
17/11/2010
  • NORTHERN PEGASUS LLC.
A warning PDF of date 17/11/2010 (new window) SFSA (SUECIA) 
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) 
13/06/2012
  • NAGOYA CORP
A warning PDF of date 13/06/2012 (new window) SFSA (SUECIA) 
28/12/2016
  • NIKKO-DESJARDINS ASSET MANAGEMENT
A warning PDF of date 28/12/2016 (new window) SFSA (SUECIA) 
15/04/2009
  • NEW YORK CAPITAL INVESTMENT
A warning PDF of date 15/04/2009 (new window) SFSA (SUECIA) 
11/05/2016
  • NANKAI GROUP
A warning PDF of date 11/05/2016 (new window) SFSA (SUECIA) 
23/04/2014
  • NELTOM LTD
A warning PDF of date 23/04/2014 (new window) SFSA (SUECIA) 

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