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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 2 out of 22
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
01/10/2014
  • DUPONT FINANCIAL/DUPONT FX/DP GLOBAL SERVICES LTD (CLON)
A warning PDF of date 01/10/2014 (new window) SFSA (SUECIA) 
08/09/2010
  • DUPONT CONSEILLE AG
A warning PDF of date 08/09/2010 (new window) AFM (PAISES BAJOS (HOLANDA)) 
31/07/2019
  • DUNN & MILLER CORPORATE PARTNERS
A warning PDF of date 31/07/2019 (new window) FCA (REINO UNIDO) 
16/09/2020
  • DUNN & BURCHILL
A warning PDF of date 16/09/2020 (new window) FSMA (BELGICA) 
20/09/2006
  • DUNLEAVY MANAGEMENT LTD.
A warning PDF of date 20/09/2006 (new window) SFSA (SUECIA) 
05/08/2020
  • DUNHILL WEALTH ADVISORY
A warning PDF of date 05/08/2020 (new window) CSSF (LUXEMBURGO) 
14/10/2015
  • DUMONT PRIVATE EQUITY
A warning PDF of date 14/10/2015 (new window) SFSA (SUECIA) 
23/12/2020
  • DULI FINANCE ADVISORY
A warning PDF of date 23/12/2020 (new window) FCA (REINO UNIDO) 
06/05/2009
  • DUFRESNE AND ANDY INTERNATIONAL
A warning PDF of date 06/05/2009 (new window) SFSA (SUECIA) 
20/05/2009
  • DUFRESNE AND ANDY INTERNATIONAL
A warning PDF of date 20/05/2009 (new window) IFSRA (IRLANDA) 

Consultation criteria: By type unauthorised entities, By initial D.