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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 575 out of 668
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
27/04/2005
  • ASIA PACIFIC HOLDINGS LTD
A warning PDF of date 27/04/2005 (new window) SFC (HONG KONG) 
27/04/2005
  • ASIA PACIFIC INTERNATIONAL INVESTMENT TRUST
A warning PDF of date 27/04/2005 (new window) SFC (HONG KONG) 
25/01/2006
  • ARGUS INTERNATIONAL LIMITED
A warning PDF of date 25/01/2006 (new window) SFC (HONG KONG) 
14/01/2009
  • OMEGA CAPITAL MANAGEMENT
  • WWW.OMEGACM.COM
A warning PDF of date 14/01/2009 (new window) SFC (HONG KONG) 
14/01/2009
  • MAYNARD & BREEN INVESTMENT SERVICES
  • WWW.MAYBRN.COM
A warning PDF of date 14/01/2009 (new window) SFC (HONG KONG) 
25/01/2006
  • HAMILTON, GARDINER & ASSOCIATES
A warning PDF of date 25/01/2006 (new window) SFC (HONG KONG) 
25/01/2006
  • GENERAL TRADERS
A warning PDF of date 25/01/2006 (new window) SFC (HONG KONG) 
25/01/2006
  • FOREX & FUTURES INTERNATIONAL LIMITED
A warning PDF of date 25/01/2006 (new window) SFC (HONG KONG) 
22/02/2006
  • MAGNA CAPITAL RESEARCH
  • WWW.MAGNACAPITALRESEARCH.COM
A warning PDF of date 22/02/2006 (new window) SFC (HONG KONG) 
22/02/2006
  • TRANSGLOBAL FINANCIAL LTD.
A warning PDF of date 22/02/2006 (new window) SFC (HONG KONG) 

Consultation criteria: By type unauthorised entities.