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 820 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
12/06/2013
  • ALLIANZ ASSET MANAGEMENT
A warning PDF of date 12/06/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE REGISTRADAS PERTENECIENTES AL GRUPO ALLIANZ
12/06/2013
  • LAWRENCE JAMES & ASSOCIATES
  • WWW.LJAMESASSOCIATES.COM
A warning PDF of date 12/06/2013 (new window) FCA (REINO UNIDO) 
12/06/2013
  • REYNOLDS CONSULTANCY LTD
  • WWW.REYNOLDSCONSULTANCYLTD.COM
A warning PDF of date 12/06/2013 (new window) FCA (REINO UNIDO) 
12/06/2013
  • PETERSON CAPITAL PARTNERS INC
  • WWW.PETERSONCAPITALINC.COM
  • WWW.PETERSONCAPITALINC.NET
A warning PDF of date 12/06/2013 (new window) FCA (REINO UNIDO) 
12/06/2013
  • MERGERS & ACQUISITIONS FINANCIAL ADMINISTRATION
A warning PDF of date 12/06/2013 (new window) FCA (REINO UNIDO) 
05/06/2013
  • BERGMANNWHITE ASSOCIATES
  • HTTP://WWW.BERGMANNWHITE-ASSOCIATES.COM/INDEX.HTML
A warning PDF of date 05/06/2013 (new window) FSAN (NORUEGA) 
05/06/2013
  • CLARITY CAPITAL MARKETS
  • WWW.CLARITYCAPITALMARKETS.COM
A warning PDF of date 05/06/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CLARITY CAPITAL PARTNERS LIMITED
05/06/2013
  • LEAD MANAGEMENT LIMITED
  • HTTP://WWW.LEADMANAGEMENTGROUP.COM
A warning PDF of date 05/06/2013 (new window) SSMA (ESLOVENIA) 
05/06/2013
  • EXELYUM LTD.
A warning PDF of date 05/06/2013 (new window) AMF (FRANCIA) 
05/06/2013
  • COMPANIES INVESTMENT HOLDINGS LTD
  • WWW.COMPANIESINVESTMENT.COM
A warning PDF of date 05/06/2013 (new window) FCA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.