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 568 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
23/12/2020
  • DULI FINANCE ADVISORY
  • HTTPS://WWW.DULIFINANCEADVISORY.COM
A warning PDF of date 23/12/2020 (new window) FCA (REINO UNIDO) 
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.
16/12/2020
  • UK FIXED RATE BOND
  • UKFIXEDRATEBOND.COM
A warning PDF of date 16/12/2020 (new window) FCA (REINO UNIDO) 
23/12/2020
  • OAKTREE CAPITAL MANAGEMENT / OAK TREE CAPITAL MANAGEMENT (CLON)
  • WWW.OAKTREECAPITALMANAGEMENT.CO.UK
  • WWW.BROCHURE.OAKTREECAPITALMANAGEMENT.CO.UK
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.
23/12/2020
  • MAX RECOVERIES / MAX RECOVERY (CLON)
A warning PDF of date 23/12/2020 (new window) FCA (REINO UNIDO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA MAX RECOVERY LIMITED.
07/01/2021
  • PHASE ASSET MANAGEMENT (CLONE)
  • WWW.INVESTMENT.PHASEASSETMANAGEMENT.COM
  • WWW.PHASEASSETMANAGEMENT.COM
A warning PDF of date 07/01/2021 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA PHASE.
07/01/2021
  • BACK ON TRACK LOANS
A warning PDF of date 07/01/2021 (new window) FCA (REINO UNIDO) 
07/01/2021
  • LOMBARD LONDON / LOMBARD AM (CLONE)
  • LOMBARDLONDON.COM / LOMBARDAM.COM
A warning PDF of date 07/01/2021 (new window) FCA (REINO UNIDO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA LOMBARD ODIER ASSET MANAGEMENT (EUROPE) LTD.
07/01/2021
  • FULL FUNDING CIRCLE / FULLFUNDING CIRCLE (CLONE)
  • WWW.FULLFUNDING-CIRCLE.COM
A warning PDF of date 07/01/2021 (new window) FCA (REINO UNIDO)LAS ENTIDADES ADVERTIDAS NO TIENEN NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA STERLING PROFESSIONAL FINANCE LIMITED.
30/12/2020
  • COMPARE UK BONDS / COMPARE-UK-BONDS
  • WWW.COMPARE-UK-BONDS.CO.UK
A warning PDF of date 30/12/2020 (new window) FCA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.