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 839 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
05/12/2012
  • BRADFORD SECURITIES LLC
  • WWW.BRADFORDSECURITIESLLC.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • RABO STRATEGIES
  • WWW.ROGOSBV.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • ONE GLOBAL MANAGEMENT
  • WWW.ONEGLOBALMANAGEMENT.COM
A warning PDF of date 05/12/2012 (new window) SFSA (SUECIA) 
05/12/2012
  • MM INSTITUTIONAL
  • WWW.MMINSTITUTIONALADVISORS.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
05/12/2012
  • RICHARDSON CAPITAL GROUP/RICHARDSON CONSULTANCY
  • WWW.RICHARDSONCONSULTANCY.COM
A warning PDF of date 05/12/2012 (new window) FSA (REINO UNIDO) 
28/11/2012
  • GILES AND HOCHMAN CONSULTING
  • WWW.GILESHOCHMANCONSULTING.COM
A warning PDF of date 28/11/2012 (new window) FSA (REINO UNIDO) 
28/11/2012
  • FAIRVESTA
  • HTTP://WWW.FAIRVESTA.COM
A warning PDF of date 28/11/2012 (new window) AMF (FRANCIA) 
28/11/2012
  • SALOMON AND ASSOCIATES
  • WWW.SALOMONASSOCIATESCONSULT.COM
A warning PDF of date 28/11/2012 (new window) FSA (REINO UNIDO) 
28/11/2012
  • UST FINANCIAL SERVICES CORP.
  • WWW.USTFINANCE.COM
A warning PDF of date 28/11/2012 (new window) FSA (REINO UNIDO) 
28/11/2012
  • SOLARIS FINANCIAL SOLUTIONS
  • WWW.SOLARIS-FS.COM
A warning PDF of date 28/11/2012 (new window) FSA (REINO UNIDO) 

Consultation criteria: By type unauthorised entities.