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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 9
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
23/01/2008
  • U.S.A. ICII INTERNATIONAL CONSULTANT LIMITED
A warning PDF of date 23/01/2008 (new window) SFC (HONG KONG) 
31/07/2019
  • UAB ELORONA AND UAB ROLNETA.
A warning PDF of date 31/07/2019 (new window) CONSOB (ITALIA) 
07/03/2018
  • UB4TRADE
A warning PDF of date 07/03/2018 (new window) DFSA (DINAMARCA) 
14/01/2009
  • UBALDI CHAMBERS
  • UBALDI DINO
A warning PDF of date 14/01/2009 (new window) FSC (ISLA DE MAN) 
14/01/2009
  • UBALDI DINO
  • UBALDI CHAMBERS
A warning PDF of date 14/01/2009 (new window) FSC (ISLA DE MAN) 
09/02/2005
  • UBHK SECURITIES COMPANY LIMITED
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
15/04/2009
  • UBP PRIVEE FINANCIAL GROUP
A warning PDF of date 15/04/2009 (new window) JFSC (JERSEY) 
29/04/2015
  • UBS GLOBAL ASSET MANAGEMENT FUNDS LTD (CLON)
A warning PDF of date 29/04/2015 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DEL MISMO NOMBRE
03/08/2016
  • UBS GLOBAL INVESTMENT MANAGEMENT LTD (CLON)
A warning PDF of date 03/08/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CON SIMILAR DENOMINACIÓN
16/03/2005
  • UBS TRUST PLC
A warning PDF of date 16/03/2005 (new window) JFSC (JERSEY) 

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