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 3 out of 56
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
20/09/2006
  • PRESCOTT FITZGERALD
A warning PDF of date 20/09/2006 (new window) SFSA (SUECIA) 
10/11/2010
  • PENFOLD & PARTNERS LTD.
A warning PDF of date 10/11/2010 (new window) SFSA (SUECIA) 
20/09/2006
  • PEARLSTAR CORPORATION
A warning PDF of date 20/09/2006 (new window) SFSA (SUECIA) 
17/09/2008
  • PORTWAY CAPITAL
A warning PDF of date 17/09/2008 (new window) SFSA (SUECIA) 
03/09/2014
  • PARLEY ACQUISITION GROUP
A warning PDF of date 03/09/2014 (new window) SFSA (SUECIA) 
12/08/2009
  • PARKER & BOYD LTD.
A warning PDF of date 12/08/2009 (new window) SFSA (SUECIA) 
06/05/2009
  • PACIFIC RIM WEALTH MANAGEMENT
A warning PDF of date 06/05/2009 (new window) SFSA (SUECIA) 
05/07/2017
  • PIMMIT PARTNERS
A warning PDF of date 05/07/2017 (new window) SFSA (SUECIA) 
04/02/2009
  • PALMER BROWN MANAGEMENT, INC.
A warning PDF of date 04/02/2009 (new window) SFSA (SUECIA) 
10/12/2008
  • PACIFIC CAPITAL PARTNERS
A warning PDF of date 10/12/2008 (new window) SFSA (SUECIA) 

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