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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 3
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
17/01/2007
  • YAMATO & ASSOCIATES
A warning PDF of date 17/01/2007 (new window) SFC (HONG KONG) 
13/10/2011
  • YELLOWDALE
A warning PDF of date 13/10/2011 (new window) MFSA (MALTA) 
26/09/2018
  • YAMAGUCHI LAURENTIAN SECURITIES
A warning PDF of date 26/09/2018 (new window) FSMA (BELGICA) 
21/11/2012
  • YAMAGUCHI PARTNERS GLOBAL
A warning PDF of date 21/11/2012 (new window) FSAN (NORUEGA) 
23/05/2012
  • YAMATO ASSET MANAGEMENT CO LTD
A warning PDF of date 23/05/2012 (new window) FSA (REINO UNIDO) 
27/03/2013
  • YAKAMOTO INVESTMENTS
A warning PDF of date 27/03/2013 (new window) FSA (REINO UNIDO) 
31/10/2012
  • YAMAGUCHI PARTNERS GLOBAL HEAD OFFICE
A warning PDF of date 31/10/2012 (new window) FMA (AUSTRIA) 
13/11/2019
  • YAMANASHI KYOTO MANAGEMENT
A warning PDF of date 13/11/2019 (new window) FMA (AUSTRIA) 
02/11/2017
  • YF ASSET MANAGEMENT (CLON)
A warning PDF of date 02/11/2017 (new window) FCA (REINO UNIDO) 
19/06/2019
  • YOUCOMPAREINSURANCE
A warning PDF of date 19/06/2019 (new window) FCA (REINO UNIDO) 

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