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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 6 out of 18
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
07/12/2016
  • KOJIMA VENTURES
A warning PDF of date 07/12/2016 (new window) FCA (REINO UNIDO) 
08/02/2017
  • KEYSTONE MANAGEMENT LTD / KEYSTONE CAPITAL
A warning PDF of date 08/02/2017 (new window) FCA (REINO UNIDO) 
19/10/2016
  • KNIGHT CAPITAL MARKETS
A warning PDF of date 19/10/2016 (new window) FCA (REINO UNIDO) 
03/08/2016
  • KAUFMAN FRANZ WEALTH MANAGEMENT (CLON)
A warning PDF of date 03/08/2016 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA CON SIMILAR DENOMINACIÓN
13/10/2016
  • KNIGHT COVER
A warning PDF of date 13/10/2016 (new window) FCA (REINO UNIDO) 
07/01/2015
  • KEYSTONE CORPORATE GROUP
A warning PDF of date 07/01/2015 (new window) FCA (REINO UNIDO) 
11/12/2013
  • KSI / KARAMANOF
A warning PDF of date 11/12/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LA ENTIDAD DEBIDAMENTE REGISTRADA KARAMANOF SECURITIES & INVESTMENT SERVICES, S.A.
12/03/2014
  • KNOX SECURITIES CORP
A warning PDF of date 12/03/2014 (new window) FCA (REINO UNIDO) 
07/08/2013
  • KKR
A warning PDF of date 07/08/2013 (new window) FCA (REINO UNIDO)LA ENTIDAD ADVERTIDA NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES PERTENECIENTES AL GRUPO KOHLBERG KRAVIS ROBERTS
03/09/2014
  • KEE GLOBAL CORP
A warning PDF of date 03/09/2014 (new window) FCA (REINO UNIDO) 

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