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 4 out of 88
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
10/10/2012
  • BP HOLDINGS
A warning PDF of date 10/10/2012 (new window) SFSA (SUECIA) 
22/08/2012
  • BALANCED SECURITIES PLANNINGS INC.
A warning PDF of date 22/08/2012 (new window) SFSA (SUECIA) 
01/08/2012
  • BRIDGESTONE GLOBAL PARTNERS
A warning PDF of date 01/08/2012 (new window) SFSA (SUECIA) 
13/06/2012
  • BAKER & BAINS
A warning PDF of date 13/06/2012 (new window) SFSA (SUECIA) 
18/04/2012
  • BMC INVESTMENT GROUP
A warning PDF of date 18/04/2012 (new window) SFSA (SUECIA) 
09/05/2012
  • BRADLEY KING M & A
A warning PDF of date 09/05/2012 (new window) SFSA (SUECIA) 
24/10/2012
  • BLUE PRINT SECURITIES LTD, BPS
A warning PDF of date 24/10/2012 (new window) SFSA (SUECIA) 
23/04/2014
  • BNY MELLON WEALTH MANAGEMENT (CLON)
A warning PDF of date 23/04/2014 (new window) SFSA (SUECIA)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEL MISMO NOMBRE DEBIDAMENTE REGISTRADA EN ESTADOS UNIDOS
13/04/2011
  • BAKER & HIGGS ASSET MANAGEMENT
A warning PDF of date 13/04/2011 (new window) SFSA (SUECIA) 
26/03/2014
  • BLUE RIBBON FINANCIAL
A warning PDF of date 26/03/2014 (new window) SFSA (SUECIA) 

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