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 5 out of 39
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
06/04/2022
  • LPLFINANCES.COM
A warning PDF of date 06/04/2022 (new window) FMA (AUSTRIA) 
17/11/2021
  • LPLFINANCES
A warning PDF of date 17/11/2021 (new window) FSMA (BELGICA) 
15/06/2022
  • LPLEUROPE
A warning PDF of date 15/06/2022 (new window) FSMA (BELGICA) 
15/06/2022
  • LPL INVEST
A warning PDF of date 15/06/2022 (new window) FSMA (BELGICA) 
13/12/2023
  • LPL FINANCING (CLONE)
A warning PDF of date 13/12/2023 (new window) FSMA (BELGICA) 
25/03/2020
  • LP WEALTH MANAGEMENT / LEONIA PRIVATE WEALTH MANAGEMENT (CLON)
A warning PDF of date 25/03/2020 (new window) FCA (REINO UNIDO)NO CONFUNDIR CON LA ENTIDAD DEBIDAMENTE REGISTRADA LEONIA CORPORATE BANK PLC
30/09/2009
  • LOYAL RELATIONS (HONG KONG)
A warning PDF of date 30/09/2009 (new window) SFC (HONG KONG) 
20/04/2011
  • LOYAL BANK LIMITED
A warning PDF of date 20/04/2011 (new window) GFSC (GIBRALTAR)ESTA PUBLICACIÓN NO IMPLICA UNA MODIFICACIÓN DE LAS POSICIONES DE ESPAÑA EN RELACIÓN CON EL CONTENCIOSO SOBRE EL TERRITORIO BRITÁNICO DE GIBRALTAR Y SOBRE EL CARÁCTER LOCAL DE SUS AUTORIDADES
04/10/2006
  • LOWE & LANE ASSET MANAGEMENT
A warning PDF of date 04/10/2006 (new window) SFSA (SUECIA) 
04/11/2009
  • LOVECHILDREN CHARITY & ORPHANAGE
A warning PDF of date 04/11/2009 (new window) FSC (ISLA DE MAN) 

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