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 35
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
16/03/2011
  • RAYBURN WATSON AND ASSOCIATES
A warning PDF of date 16/03/2011 (new window) FSA (REINO UNIDO) 
27/04/2016
  • RAYMUND SERVAIS (CLON)
A warning PDF of date 27/04/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DE SIMILAR DENOMINACIÓN
18/11/2020
  • RBC CAPITAL MARKETS / RBC INVESTOR & TREASURY SERVICES / RBC FINANCIAL GROUP (CLON)
A warning PDF of date 18/11/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA ROYAL BANK OF CANADA
04/11/2020
  • RBC CAPITAL MARKETS / RBC INVESTOR & TREASURY SERVICES / RBC FINANCIAL GROUP (CLON)
A warning PDF of date 04/11/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA ROYAL BANK OF CANADA
20/11/2019
  • RBC TRADE
A warning PDF of date 20/11/2019 (new window) CSSF (LUXEMBURGO) 
16/12/2020
  • RBC WEALTH MANAGEMENT (CLON)
A warning PDF of date 16/12/2020 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE REGISTRADAS ROYAL BANK OF CANADA / RBC EUROPE LIMITED.
09/04/2014
  • RBC WEALTH MANAGEMENT/ROYAL BANK OF CANADA WEALTH MANAGEMENT
A warning PDF of date 09/04/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON EL GRUPO ROYAL BANK OF CANADA (RBC)
21/03/2018
  • RBCP INTERNATIONAL / RBC GROUP
A warning PDF of date 21/03/2018 (new window) FCA (REINO UNIDO) 
09/02/2011
  • RBEF LIMITED
A warning PDF of date 09/02/2011 (new window) FSA (REINO UNIDO) 
11/07/2018
  • RBINARY LIMITED
A warning PDF of date 11/07/2018 (new window) CONSOB (ITALIA) 

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