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 11 out of 34
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
15/01/2020
  • DIRECT LENDERS LIST
A warning PDF of date 15/01/2020 (new window) FCA (REINO UNIDO) 
15/01/2020
  • DIRECT FIXED INCOME
A warning PDF of date 15/01/2020 (new window) FCA (REINO UNIDO) 
15/01/2020
  • DCDM STRATEGIES (CLON)
A warning PDF of date 15/01/2020 (new window) FCA (REINO UNIDO) 
18/01/2017
  • DIAMOND LOANS (CLON)
A warning PDF of date 18/01/2017 (new window) FCA (REINO UNIDO) 
27/08/2014
  • DCI FUNDS PLC (CLON)
A warning PDF of date 27/08/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA DCI UMBRELLA FUND PLC
17/09/2014
  • DRUMMONDS INITIATIVES
A warning PDF of date 17/09/2014 (new window) FCA (REINO UNIDO) 
03/09/2014
  • DEACON CORPORATE GROUP
A warning PDF of date 03/09/2014 (new window) FCA (REINO UNIDO) 
15/02/2017
  • DONALDSON FINDLAY
A warning PDF of date 15/02/2017 (new window) FCA (REINO UNIDO) 
12/07/2017
  • DIXON ASSOCIATES LTD
A warning PDF of date 12/07/2017 (new window) FCA (REINO UNIDO) 
09/08/2017
  • DEBT ADVICE TRUST (CLON)
A warning PDF of date 09/08/2017 (new window) FCA (REINO UNIDO) 

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