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 59 out of 1164
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
27/09/2002
  • KLINE MANAGEMENT GROUP
A warning PDF of date 27/09/2002 (new window) CBF (BELGICA) 
27/09/2002
  • CHARTWELL ASSET MANAGEMENT
A warning PDF of date 27/09/2002 (new window) CBF (BELGICA) 
23/07/2008
  • DAVIS MAYER GROUP
  • WWW.DAVISMAYER.COM
A warning PDF of date 23/07/2008 (new window) CBFA (BELGICA) 
15/09/2010
  • HUDSON ASSET MANAGEMENT
A warning PDF of date 15/09/2010 (new window) CBFA (BELGICA) 
30/07/2008
  • SOLVAY FINANCIAL
A warning PDF of date 30/07/2008 (new window) CBFA (BELGICA) 
23/07/2008
  • ROYAL ASSETS AND RESEARCH
  • WWW.ROYALASSETSANDRESEARCH.COM
A warning PDF of date 23/07/2008 (new window) CBFA (BELGICA) 
23/01/2008
  • TALBOT REESE
  • WWW.TALBOTREESE.COM
A warning PDF of date 23/01/2008 (new window) CBFA (BELGICA) 
30/07/2008
  • COMMISSION FEDERALE DES MARCHES FINANCIERS
  • WWW.CFMF.GOVT.BE
A warning PDF of date 30/07/2008 (new window) CBFA (BELGICA)FALSO SUPERVISOR FINANCIERO
13/10/2010
  • SWIFTSURE SECURITIES LIMITED
  • WWW.SWIFTSURESECURITIESLTD.COM
A warning PDF of date 13/10/2010 (new window) CBFA (BELGICA) 
29/09/2010
  • BELGIUM FINANCIAL GROUP
A warning PDF of date 29/09/2010 (new window) CBFA (BELGICA) 

Consultation criteria: By type unauthorised entities.