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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 6 out of 9
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/01/2009
  • UBALDI DINO
  • UBALDI CHAMBERS
A warning PDF of date 14/01/2009 (new window) FSC (ISLA DE MAN) 
18/07/2007
  • UNION TRUST SECURITIES
A warning PDF of date 18/07/2007 (new window) FSC (ISLA DE MAN) 
18/07/2007
  • UPCB PRIVE BANCO
A warning PDF of date 18/07/2007 (new window) FSC (ISLA DE MAN) 
23/08/2006
  • ULSTER BANK INVESTMENT OFFER
A warning PDF of date 23/08/2006 (new window) FSC (ISLA DE MAN) 
17/05/2006
  • UTB FINANCE & SECURITY SERVICES
A warning PDF of date 17/05/2006 (new window) FSC (ISLA DE MAN) 
14/01/2009
  • UBALDI CHAMBERS
  • UBALDI DINO
A warning PDF of date 14/01/2009 (new window) FSC (ISLA DE MAN) 
08/08/2007
  • UGC PRIVATE BANKING SERVICES
A warning PDF of date 08/08/2007 (new window) FSC (ISLA DE MAN) 
10/05/2004
  • UNION BANK E ADVANTAGE
A warning PDF of date 10/05/2004 (new window) FSC (ISLA DE MAN) 
22/02/2012
  • UNIVERSAL LIBERTY EXPRESS BANK
A warning PDF of date 22/02/2012 (new window) FSMA (BELGICA) 
17/12/2014
  • UNITED GLOBAL TRADING
A warning PDF of date 17/12/2014 (new window) FSMA (BELGICA) 

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