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 3 out of 34
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
01/06/2011
  • DELTA WEST FINANCIAL MANAGEMENT
A warning PDF of date 01/06/2011 (new window) SFSA (SUECIA) 
03/11/2010
  • DYNAMIC WEALTH MANAGEMENT, DWM
A warning PDF of date 03/11/2010 (new window) SFSA (SUECIA) 
23/03/2011
  • DELAP CAPITAL SERVICES
A warning PDF of date 23/03/2011 (new window) SFSA (SUECIA) 
14/10/2015
  • DUMONT PRIVATE EQUITY
A warning PDF of date 14/10/2015 (new window) SFSA (SUECIA) 
10/05/2006
  • DELTA TRADE FINANCIAL GROUP
A warning PDF of date 10/05/2006 (new window) SFSA (SUECIA) 
01/10/2014
  • DUPONT FINANCIAL/DUPONT FX/DP GLOBAL SERVICES LTD (CLON)
A warning PDF of date 01/10/2014 (new window) SFSA (SUECIA) 
14/09/2005
  • DRAGON SECURITIES
A warning PDF of date 14/09/2005 (new window) SFSA (SUECIA) 
22/08/2012
  • DAWSON WHITE TRUST (DW TRUST)
A warning PDF of date 22/08/2012 (new window) SFSA (SUECIA) 
15/01/2014
  • DYMAN ASSOCIATES
A warning PDF of date 15/01/2014 (new window) SFSA (SUECIA) 
08/03/2006
  • DONAVAN & YUNG PARTNERS
A warning PDF of date 08/03/2006 (new window) SFC (HONG KONG) 

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