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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 1 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
28/10/2020
  • O.D.D. ASSET MANAGEMENT / ODD ASSET MANAGEMENT (CLON)
A warning PDF of date 28/10/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA ODD ASSET MANAGEMENT LTD
21/10/2015
  • OAK TREE FINANCE / OAK TREE FINANCIALS
A warning PDF of date 21/10/2015 (new window) FCA (REINO UNIDO) 
31/08/2005
  • OAKMONT INTERNATIONAL LLC
A warning PDF of date 31/08/2005 (new window) FSA (REINO UNIDO) 
23/12/2020
  • OAKTREE CAPITAL MANAGEMENT / OAK TREE CAPITAL MANAGEMENT (CLON)
A warning PDF of date 23/12/2020 (new window) FCA (REINO UNIDO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE REGISTRADAS OAKTREE CAPITAL MANAGEMENT (UK) LLP/ OAKTREE CAPITAL MANAGEMENT (EUROPE) LLP / OAKTREE CAPITAL MANAGEMENT (INTERNATIONAL) LIMITED.
28/03/2018
  • OAKWOOD ADVISORY
A warning PDF of date 28/03/2018 (new window) FCA (REINO UNIDO) 
24/02/2021
  • OBECHE LUXEMBOURG / OBECHE PATRIMOINE (CLON)
A warning PDF of date 24/02/2021 (new window) CSSF (LUXEMBURGO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA OBECHE HOLDING S.A.
18/09/2013
  • OBJETIVE RETURNS
A warning PDF of date 18/09/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA OBJECTIVE RETURNS PLC
09/09/2020
  • OBTFX
A warning PDF of date 09/09/2020 (new window) FCA (REINO UNIDO) 
16/03/2011
  • OCCIDENTAL CAPITAL PARTNERS
A warning PDF of date 16/03/2011 (new window) FSA (REINO UNIDO) 
24/02/2021
  • OCEAN GROUP CAPITAL (CLON)
A warning PDF of date 24/02/2021 (new window) CSSF (LUXEMBURGO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA OCEAN GROUP CAPITAL S.C.A., SICAR.

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