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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 573 out of 605
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
01/06/2011
  • WILLIAM SMITH AND COMPANY
  • WWW.WILLIAMSMITHANDCOMPANY.COM
A warning PDF of date 01/06/2011 (new window) FMA (AUSTRIA) 
10/03/2010
  • WILLIAM SMITH PARTNERS
  • WWW.WILLIAMSMITHPARTNERS.COM
A warning PDF of date 10/03/2010 (new window) JFSC (JERSEY) 
16/10/2013
  • WILLIAM WRIGHT
A warning PDF of date 16/10/2013 (new window) FCA (REINO UNIDO) 
17/05/2017
  • WILLIAMS & CHASE ASSOCIATES
  • WWW.WILLIAMSANDCHASEASSOCIATES.COM
  • WWW.WILLIAMSCHASEASSOCIATES.COM
A warning PDF of date 17/05/2017 (new window) FCA (REINO UNIDO) 
08/11/2017
  • WILLIAMS BEACON ADVISORY LTD
  • WWW.WILLIAMS-BEACON.COM
A warning PDF of date 08/11/2017 (new window) AFM (PAISES BAJOS (HOLANDA)) 
25/09/2019
  • WILLIAMS CARTER & ASSOCIATES LLC
  • WWW.WILLIAMSCARTERASSOC.COM
A warning PDF of date 25/09/2019 (new window) FCA (REINO UNIDO) 
24/10/2012
  • WILLIAMS CONSULTANCY LIMITED
  • WWW.WILLIAMSCONSULTANCYLTD.COM
A warning PDF of date 24/10/2012 (new window) FSA (REINO UNIDO) 
20/04/2011
  • WILLIAMS CORPORATION LTD.
A warning PDF of date 20/04/2011 (new window) FMA (AUSTRIA) 
08/11/2006
  • WILLIAMS GROUP, FINANCIAL SERVICES
  • WWW.WILLIAMSGRPFINANCIALSERV.COM
A warning PDF of date 08/11/2006 (new window) SFSA (SUECIA) 
12/05/2003
  • WILLMONT FINANCIAL, SL
A warning PDF of date 12/05/2003 (new window) FSA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.