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 64 out of 87
Search for Public warnings issued by foreign Securities Regulators
DateTargeted companiesDocument (English)RegulatorComments
25/04/2012
  • SAMUEL MATTHEW
A warning PDF of date 25/04/2012 (new window) FSA (REINO UNIDO)LA ENTIDAD NO TIENE NINGUNA VINCULACIÓN CON LAS ENTIDADES DEBIDAMENTE AUTORIZADAS DENOMINADAS ING INVESTMENT MANAGEMENT (UK) LIMITED E ING ASSET MANAGEMENT BV
25/04/2012
  • SMITH AND LOCKHART ASSOCIATES
A warning PDF of date 25/04/2012 (new window) FSA (REINO UNIDO) 
25/04/2012
  • SPENCER AND RICHARDSON FINANCIAL
A warning PDF of date 25/04/2012 (new window) SFSA (SUECIA) 
18/04/2012
  • SECURITIES TRADING BOARD
A warning PDF of date 18/04/2012 (new window) FSAN (NORUEGA) 
04/04/2012
  • SANTIAGO MERGERS AND ACQUISITIONS
A warning PDF of date 04/04/2012 (new window) FSA (REINO UNIDO) 
21/03/2012
  • SUMITOMO GLOBAL
A warning PDF of date 21/03/2012 (new window) DFSA (DINAMARCA) 
14/03/2012
  • SUNLINE TRANSFER AGENTS
A warning PDF of date 14/03/2012 (new window) FSA (REINO UNIDO) 
14/03/2012
  • STATESIDE CAPITAL, LLC
A warning PDF of date 14/03/2012 (new window) SFSA (SUECIA) 
29/02/2012
  • SWISS FINANCIAL SERVICES
A warning PDF of date 29/02/2012 (new window) FSA (REINO UNIDO) 
15/02/2012
  • SDH INSURANCE LIMITED
A warning PDF of date 15/02/2012 (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

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