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 66 out of 91
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
18/07/2012
  • ACE FINANCIAL
A warning PDF of date 18/07/2012 (new window) FSA (REINO UNIDO) 
20/06/2012
  • ACE FINANCIAL
A warning PDF of date 20/06/2012 (new window) SFSA (SUECIA) 
20/06/2012
  • AOT STOCK SPECIALIST
A warning PDF of date 20/06/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE QUE ESTUVO AUTORIZADA AOT STOCK SPECIALIST BV
20/06/2012
  • AOT EUROPE
A warning PDF of date 20/06/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD QUE ESTUVO AUTORIZADA AOT STOCK SPECIALIST BV
23/05/2012
  • ACCESS BROKER INCORPORATED
A warning PDF of date 23/05/2012 (new window) SFSA (SUECIA) 
23/05/2012
  • ALLIANZ INTERNATIONAL GROUP
A warning PDF of date 23/05/2012 (new window) FSA (REINO UNIDO) 
23/05/2012
  • ALPHA CONNECT CAPITAL GMBH
A warning PDF of date 23/05/2012 (new window) FSA (REINO UNIDO)LA SOCIEDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA ALPHA CAPITAL GMBH
16/05/2012
  • AW ASSOCIATES
A warning PDF of date 16/05/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE INSCRITA ANDREW WARNER
16/05/2012
  • AVALON CONSULTANTS LTD.
A warning PDF of date 16/05/2012 (new window) FSA (REINO UNIDO) 
09/05/2012
  • ATLAS CONSULTANCY
A warning PDF of date 09/05/2012 (new window) FSA (REINO UNIDO) 

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