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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 5 out of 66
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
14/10/2009
  • SMITH SHORE & JENKINS, LLC
A warning PDF of date 14/10/2009 (new window) SFSA (SUECIA) 
16/05/2012
  • SOUTH ATLANTIC SECURITIES
A warning PDF of date 16/05/2012 (new window) SFSA (SUECIA) 
09/05/2012
  • STOCKHOLM SAVING & LOAN EK. FÖR.
A warning PDF of date 09/05/2012 (new window) SFSA (SUECIA) 
18/02/2009
  • SATELLITE ACQUISITION CORP.
A warning PDF of date 18/02/2009 (new window) SFSA (SUECIA) 
15/04/2009
  • SUMITOMO INTERNATIONAL
A warning PDF of date 15/04/2009 (new window) SFSA (SUECIA) 
10/06/2009
  • SPARTACUS PRIVATE EQUITY GROUP
A warning PDF of date 10/06/2009 (new window) SFSA (SUECIA) 
14/03/2012
  • STATESIDE CAPITAL, LLC
A warning PDF of date 14/03/2012 (new window) SFSA (SUECIA) 
15/02/2012
  • SWISS FINANCIAL SERVICES INC.
A warning PDF of date 15/02/2012 (new window) SFSA (SUECIA) 
15/02/2012
  • STERN FISHER EDWARDS CORP.
A warning PDF of date 15/02/2012 (new window) SFSA (SUECIA) 
27/01/2010
  • SCHAPIRO GLOBAL INC.
A warning PDF of date 27/01/2010 (new window) SFSA (SUECIA) 

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