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 76 out of 119
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
25/07/2012
  • COMPASS FINANCIAL MANAGEMENT
A warning PDF of date 25/07/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA COMPASS FINANCIAL MANAGEMENT LLC
24/11/2021
  • COMPASS PRIVATE INVESTMENTS (CLONE)/
A warning PDF of date 24/11/2021 (new window) CSSF (LUXEMBURGO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA EN LUXEMBURGO COMPASS PRIVATE INVESTMENTS S.A.
09/06/2010
  • COMPLETE COMMODITY TRADING
A warning PDF of date 09/06/2010 (new window) FSAN (NORUEGA) 
14/12/2022
  • COMPLETEPROMARKETS
  • COMPLETE PRO MARKETS
A warning PDF of date 14/12/2022 (new window) FCA (REINO UNIDO) 
22/02/2023
  • CON TRADING FX
A warning PDF of date 22/02/2023 (new window) FCA (REINO UNIDO) 
15/06/2022
  • CONCEPT BLUE (CLONE)
A warning PDF of date 15/06/2022 (new window) FSMA (BELGICA) 
19/03/2014
  • CONCEPT FUND SOLUTIONS PLC
A warning PDF of date 19/03/2014 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON EL FONDO DEL MISMO NOMBRE QUE ESTÁ DEBIDAMENTE REGISTRADO
05/02/2020
  • CONCEPT LOANS
A warning PDF of date 05/02/2020 (new window) FCA (REINO UNIDO) 
12/02/2020
  • CONCEPT ONE (CLON)
A warning PDF of date 12/02/2020 (new window) CSSF (LUXEMBURGO)LA WEB NO GUARDA RELACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA, CONCEPT I SICAV.
27/02/2008
  • CONCEPTS FINANCIAL CONSULTANTS, S.A.
A warning PDF of date 27/02/2008 (new window) HCMC (GRECIA) 

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