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 46 out of 76
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
22/01/2014
  • MESIROW FINANCIAL OR MESIROW FINANCIAL INTERNATIONAL UK
A warning PDF of date 22/01/2014 (new window) FCA (REINO UNIDO) 
02/10/2013
  • MR. ARISTIDIS KONSTANTINIDIS
A warning PDF of date 02/10/2013 (new window) HCMC (GRECIA) 
11/09/2013
  • MULTI RISK BENEFITS LIMITED
A warning PDF of date 11/09/2013 (new window) MFSA (MALTA)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA MULTI RISK BENEFITS LIMITED
11/09/2013
  • MAYER KAUFMAN PRIVATE BANKERS
A warning PDF of date 11/09/2013 (new window) CSSF (LUXEMBURGO) 
11/09/2013
  • MR FRANCK LEROY
  • MR NICOLAS GRECY
A warning PDF of date 11/09/2013 (new window) AMF (FRANCIA) 
04/09/2013
  • MITSUBISHI UFJ MORGAN STANLEY SECURITIES CO. LTD
A warning PDF of date 04/09/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA INSTITUCIÓN FINANCIERA DEL MISMO NOMBRE QUE ESTÁ RADICADA EN JAPÓN
21/08/2013
  • MKR GLOBAL SERVICES LLC
A warning PDF of date 21/08/2013 (new window) FCA (REINO UNIDO) 
14/08/2013
  • MILES CORPORATE SERVICES
A warning PDF of date 14/08/2013 (new window) FCA (REINO UNIDO) 
26/06/2013
  • MM INSTITUTIONAL
A warning PDF of date 26/06/2013 (new window) FCA (REINO UNIDO) 
19/06/2013
  • MKP CAPITAL EUROPE / MKP EUROPE
A warning PDF of date 19/06/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA MKP CAPITAL EUROPE LLP

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