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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
12/05/2003
  • UNION PARTNERS, SL (ANTES GOLDBERG KRAVITZ, SL)
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO)VER ADVERTENCIAS CNMV
10/05/2004
  • UNION BANK E ADVANTAGE
A warning PDF of date 10/05/2004 (new window) FSC (ISLA DE MAN) 
09/02/2005
  • UNION BANK OF CHINA
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
09/02/2005
  • UBHK SECURITIES COMPANY LIMITED
A warning PDF of date 09/02/2005 (new window) SFC (HONG KONG) 
16/03/2005
  • UBS TRUST PLC
A warning PDF of date 16/03/2005 (new window) JFSC (JERSEY) 
16/03/2005
  • UBS TRUSTCO
A warning PDF of date 16/03/2005 (new window) JFSC (JERSEY) 
11/05/2005
  • US CAPITAL FX
A warning PDF of date 11/05/2005 (new window) FSA (REINO UNIDO) 
13/10/2005
  • UNIVERSAL CREDIT UNION OF SWEDEN ECONOMIC
A warning PDF of date 13/10/2005 (new window) SFSA (SUECIA) 
15/03/2006
  • UNIVERSAL NETWORKS, INC.
A warning PDF of date 15/03/2006 (new window) SFSA (SUECIA) 
26/04/2006
  • UNIFIED INVESTMENT GROUP INC
A warning PDF of date 26/04/2006 (new window) FSA (REINO UNIDO) 

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